On July 1, 2024, the Securities and Exchange Commission (SEC) adopted rule and form amendments to provide a tailored registration framework for registered index-linked annuities (RILAs) and registered market value adjustment...more
On March 13, 2020, the SEC issued an exemptive order under the Investment Company Act of 1940 (the “1940 Act” and the “1940 Act Order”) providing relief for registered management investment companies and business development...more
In 2020, investment companies should be prepared for important compliance deadlines and likely US Securities and Exchange Commission (SEC) rulemakings.
In this Bottom Line videocast, Cynthia Beyea and Ronald Coenen Jr....more
1/30/2020
/ Asset Management ,
Compliance ,
ETFs ,
Filing Deadlines ,
Form N-PORT ,
Investment Companies ,
Investment Funds ,
Investors ,
Portfolio Companies ,
Proposed Rules ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)
On December 16, 2016, the Division of Investment Management (IM) of the Securities and Exchange Commission (SEC) published a Guidance Update (the Guidance) providing guidance on disclosure issues and filing requirements...more
On October 13, 2016, the SEC approved new Rule 22e-4 under the Investment Company Act of 1940, as amended (the 1940 Act), which will require certain open-end investment companies other than money market funds, to adopt and...more