SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments -
On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” in...more
1/27/2020
/ Derivatives ,
ETFs ,
Fiduciary Duty ,
Financial Markets ,
Form N-CEN ,
Form N-LIQUID ,
Form N-PORT ,
Global Code of Ethics ,
Investment Adviser ,
Investment Management ,
OCIE ,
Proposed Rules ,
Registered Investment Companies (RICs) ,
Regulatory Oversight ,
Regulatory Requirements ,
Reporting Requirements ,
Repurchase Agreements ,
Revenue Sharing ,
Risk Management ,
Rule 18f-4 ,
Rule 6c-11 ,
Rulemaking Process ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Share Classes ,
Wealth Management
As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more
10/31/2017
/ Asset Management ,
Business Continuity Plans ,
CFTC ,
Commodities ,
Commodity Pool ,
Consumer Financial Products ,
Department of Labor (DOL) ,
Derivatives ,
Dodd-Frank ,
Employee Benefits ,
ETFs ,
Executive Orders ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
FSOC ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Liquidity Risk Management Rule ,
Registration Requirement ,
Regulatory Oversight ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
Trump Administration ,
U.S. Treasury
The proposed rule would establish the exclusive means through which funds could enter into certain leveraged transactions, including swaps, futures, reverse repurchase agreements and short sales.
At an open meeting of...more