The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC) published a Guidance Update (Guidance) on February 23, 2017, on the subject of automated investment advisers...more
3/15/2017
/ Compliance ,
Disclosure Requirements ,
Division of Investment Management ,
Guidance Update ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
OCIE ,
Policies and Procedures ,
Registered Investment Advisors ,
Robo-Advisors ,
Securities and Exchange Commission (SEC)
Over the past three years, the Division of Investment Management (Division) of the U.S. Securities and Exchange Commission (Commission) has provided informal guidance and interpretations regarding issues of relevance to the...more
The Staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) has published responses to frequently asked questions (FAQs) regarding the SEC’s 2014 amendments...more
6/17/2015
/ Amortization ,
Capital Contributions ,
Disclosure Requirements ,
Division of Investment Management ,
Floating NAV ,
Fund Managers ,
Investment Companies ,
Liquidity Fees ,
Money Market Funds ,
NAV ,
New Amendments ,
Redemption Gates ,
Reorganizations ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Seed Financing ,
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