The Securities and Exchange Commission (SEC) recently adopted substantial amendments to shareholder reports used by investment companies, including mutual funds and exchange-traded funds (ETFs) (collectively, funds)...more
11/18/2022
/ Advertising ,
Disclosure Requirements ,
ETFs ,
Financial Industry Regulatory Authority (FINRA) ,
Form N-1A ,
Investment Companies ,
Investment Company Act of 1940 ,
Proposed Amendments ,
Proposed Rules ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Shareholders
Seward and Kissel submitted a comment letter to the SEC in response to its request for comments on proposed amendments to the Names Rule....more
On May 25, 2022, the SEC proposed amendments to Rule 35d-1, the fund “Names Rule,” (Names Rule Amendments) and, separately, proposed amendments to several rules and forms that would require additional disclosure for funds and...more
6/16/2022
/ Climate Change ,
Corporate Social Responsibility ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Services Industry ,
Greenhouse Gas Emissions ,
Investment ,
Investment Funds ,
Proposed Amendments ,
Publicly-Traded Companies ,
Registered Investment Companies (RICs) ,
Regulatory Agenda ,
Regulatory Reform ,
Securities and Exchange Commission (SEC) ,
Securities Regulation