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SEC Operations (626)
Your search for SEC Operations returned 626 results.
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3/21/2019 | Content area: Investment Adviser
Congress is being asked to approve a $1.74 billion budget for the SEC for the 2020 fiscal year beginning in October. This would mark a 2.7% increase o...
3/18/2019 | Content area: Investment Adviser
Another aspect of proxy voting that I am interested in is thresholds for submission and resubmission of shareholder proposals. It is important to achi...
3/18/2019 | Content area: Investment Adviser
modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of funds...
3/14/2019 | Content area: Investment Adviser
A new letter from the SEC’s Division of Investment Management seeks your guidance on how the agency should deal with the non-delivery versus payment c...
3/13/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce has picked up the mantle carried by former SEC Commissioner Dan Gallagher in openly supporting compliance staff (IA Wat...
3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
3/08/2019 | Content area: Investment Adviser | Broker-Dealer
A particular focus of mine is Rule 15c2-11. This rule was designed to ensure that broker-dealers have sufficient information to understand and evaluat...
3/05/2019 | Content area: Investment Adviser
Many investors these days seem focused on non-investment matters at the expense of concentration on a sound allocation of resources to their highest a...
2/08/2019 | Content area: Investment Adviser
There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned t...
2/07/2019 | Content area: Investment Adviser
Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links below go to...
2/04/2019 | Content area: Investment Adviser
The following forms on the Commission’s website have been updated to reflect amendments recently adopted by the Commission: Form N-1A; Form N-2 ; Form...
2/04/2019 | Content area: Investment Adviser
Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States...
2/04/2019 | Content area: Investment Adviser
Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“19...
2/04/2019 | Content area: Investment Adviser
Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is regist...
2/04/2019 | Content area: Investment Adviser
Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investm...
2/04/2019 | Content area: Investment Adviser
This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, by unit i...
2/04/2019 | Content area: Investment Adviser
Form N-14 may be used by all management investment companies registered under the Investment Company Act of 1940 (“1940 Act” or“Investment Company Act...
2/04/2019 | Content area: Investment Adviser
Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stock...
1/31/2019 | Content area: Investment Adviser
Given the SEC has just begun full operations after the record long partial government shutdown, it’s understandable that the agency hasn’t yet respond...


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