Nicholas Devine

Herbert Smith Freehills Kramer

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SEC Proposes Oversight Requirements for Services Outsourced by Investment Advisers

On Oct. 26, 2022, the Securities and Exchange Commission (SEC) proposed a new rule and rule amendments that would prohibit registered investment advisers from outsourcing various services without first conducting due...more

10/28/2022  /  Comment Period , Disclosure Requirements , Financial Services Industry , Investment Management , Public Comment , Registered Investment Advisors , Securities and Exchange Commission (SEC)

SEC Proposes Changes to Share Repurchase Disclosure Rules and 10b5-1 Plans

The Securities and Exchange Commission (SEC) has issued for comment two separate but related proposed rule amendments regarding share repurchases and 10b5-1 Plans. The comment period will remain open for 45 days after...more

12/22/2021  /  10b5-1 Plans , Comment Period , Corporate Governance , Financial Statements , Foreign Private Issuers , Proposed Rules , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Stock Repurchases
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