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IA Rules & Regulatory Actions

To assist potential applicants for substituted compliance under Rule 3a71-6, staff has prepared guidance regarding applications for substituted compliance
This agenda, published in the March 31 Federal Register, may well become outdated once Gary Gensler formally assumes the chairmanship of the SEC
The staff is withdrawing staff statements relating to Investment Company Act section 18 and section 12(a) , including staff letters as shown in Appendix A, ...
"These updates will be reflected in the Accounting Matters Bibliography on our website,3 which reflects all positions taken in Dear CFO letters since 1994, including ...
The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice to require persons involved in Commission administrative proceedings to file and ...
The staff believes an adviser may not cease complying with the previous advertising rule and instead comply with the amended marketing rule but still rely ...
The Commission particularly solicits public comment on whether the rules listed below affect small businesses in new or different ways than when they were first ...
First, the transaction had to be promoted and supported by Och-Ziff’s deal team in London, which was run by the head of Och-Ziff’s European office. ...
If you would like to let the staff know your views regarding these issues, we are providing an email box as a convenient method for ...
The additional disclosure showing revised text or summarizing the material changes must be attached as an exhibit to the unmarked amended relationship summary
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