The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...
The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...
The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants
We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...