In response to the market disruption, the adviser took steps to increase monitoring of its existing portfolio companies but it did not perform other analyses ...
The new order exempts from certain recordkeeping requirements those B-Ds that maintain total assets of less than $1 billion and capital of less than $100 ...
The Commission proposes to streamline or remove certain items from Form N-PORT to reduce the reporting burdens in ways that would not significantly affect the ...
The compliance dates for Form N-PORT amendments are extended to Nov. 17, 2027 for fund groups with net assets of $10 billion or more as ...
"The Staff views prudent recordkeeping practices as being essential for investor protection in the operation of a broker-dealer, to perform an audit or examination of ...
The CCO/rep "allocated to his own account a disproportionate share of both day trades and multi-day trades that achieved gains on the first day. He ...
The stay is effective immediately and shall remain operative until further order of the Commission
A limited number of staff members in the Division of Investment Management will be available to answer questions relating to fee calculations and emergency filing ...
A very limited number of personnel willย be able to respond to emergency situations involving market integrity and investor protection, includingย law enforcement
This statement is intended to assist market participants as they seek to comply with the federal securities laws and prepare to submit any necessary registrations, ...