Pursuant to Section 984 of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) published for comment proposed Rule 10c-1 (Rule), which is meant to “increase transparency and efficiency” in the securities lending...more
Rule 12d1-4 -
In October 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (final rule) and other amendments under the Investment Company Act of 1940, as amended (1940 Act), which allows funds...more
Citing the impact of the current outbreak of coronavirus disease 2019 (COVID-19), the Securities and Exchange Commission (SEC) issued orders on March 13, 2020 under the Investment Company Act of 1940 and the Investment...more
On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more
7/9/2019
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Beneficial Owner ,
Bright-Line Rule ,
Disclosure Requirements ,
Fidelity Investments ,
Final Rules ,
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Policies and Procedures ,
Regulation S-X ,
Securities and Exchange Commission (SEC) ,
Significant Influence Test