On April 8, 2020, the Securities and Exchange Commission (SEC) voted 3-1 to adopt certain rule amendments (the Final Rule) that will modify and streamline the securities offering and communication processes for business...more
On November 25, 2019, the Securities and Exchange Commission (SEC) re-proposed Rule 18f-4 (“Rule 18f-4”) under the Investment Company Act of 1940, as amended (“1940 Act”). Rule 18f-4, if adopted, would alter the SEC’s...more
12/16/2019
/ Business Development Companies ,
Derivatives ,
ETFs ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)