News & Analysis as of

Transparency Deadlines Securities and Exchange Commission (SEC)

Davis Wright Tremaine LLP

FINRA's Proposed Partial Amendments to the Securities Lending and Transparency Engine (SLATE) Program

Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public dissemination of loan information through FINRA's Securities...more

ArentFox Schiff

Four Months Out: Private Fund Advisors Prepare for September Compliance Deadline Amidst Challenge in the Fifth Circuit

ArentFox Schiff on

In September 2023, we covered the Rules (Rule) published by the US Securities and Exchange Commission (SEC), developed to promote transparency for investors by increasing visibility into compensation schemes, sales practices,...more

King & Spalding

SEC Amends Beneficial Ownership Reporting Requirements

King & Spalding on

On October 10, 2023, the Securities and Exchange Commission (the “Commission”) adopted final rules amending the beneficial ownership reporting requirements established by the Commission under Sections 13(d) and 13(g) of the...more

ArentFox Schiff

Significant New Private Fund Rules Adopted by SEC

ArentFox Schiff on

On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more

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