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Securities and Exchange Commission (SEC) › New Amendments › Financial Regulatory Reform

Proskauer Rose LLP

SEC and CFTC Extend Compliance Date for Form PF Amendments

Proskauer Rose LLP on

On January 29, 2025, the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (together, the “Agencies”) jointly announced that the compliance date for the new Form PF would be extended by three...more

Carlton Fields

Funds Not Caged by SEC Names Rule Amendments: Roaming Room Remains

Carlton Fields on

The SEC recently adopted amendments to its investment company “names” rule that apply to most SEC-registered funds, including underlying funds in which registered insurance company separate accounts invest....more

Wyrick Robbins Yates & Ponton LLP

SEC Adopts Amendments to Expand the Communications Exemption for “Demo Days” and General Solicitations of Interest

Wyrick Robbins Yates & Ponton LLP on

Effective as of March 2021, the Securities and Exchange Commission (“SEC”) adopted several amendments “to facilitate capital formation and increase opportunities for investors by expanding access to capital for small and...more

Stinson - Corporate & Securities Law Blog

SEC Amends Accelerated Filer and Large Accelerated Filer Definitions

Stinson - Corporate & Securities Law Blog on

The SEC has adopted amendments to the accelerated filer and large accelerated filer definitions. The amendments exclude from the accelerated and large accelerated filer definitions an issuer that is eligible to be a smaller...more

Carlton Fields

New Procedures for Mutual Fund and Insurance Product SEC Filings

Carlton Fields on

In Release No. 33-10618 (Mar. 20, 2019), the SEC adopted amendments (the “Amendments”) that consolidate, conform, and otherwise refine numerous requirements applicable to filings with the agency. ...more

Herbert Smith Freehills Kramer

SEC Adopts Amendments to Implement Fast Act Disclosure Modernization and Simplification

Herbert Smith Freehills Kramer on

On March 20, 2019, the Securities and Exchange Commission (the SEC) voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers and investment companies. ...more

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