Carl Ayers
Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof ...
Form N-CEN is to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission. Such reports ...
The Proposed Rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration ...
The Securities and Exchange Commission is adopting new rules, a new form and amendments to a rule and forms designed to promote effective liquidity risk ...
The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and ...
The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company (“open-end ...
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is adopting amendments to Rule 17Ad–22 and adding new Rule 17Ab2–2 pursuant to Section 17A of the
Securities ...
A spirited lawyerly give-and-take in oral arguments held Oct. 5 exposed no sign where U.S. Supreme Court justices may go with the key insider trading ...
Another month, another memorandum of understanding signed by the CFTC. This time with the UK’s regulator, the Financial Conduct Authority. The reason for the ...
It’s taken the Public Company Accounting Oversight Board a long time to develop an inspection program for custody auditors so the SEC has extended its ...