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Rules & Regulations

This is the proposed change to Investment Company Act's books and records rule proposed by the SEC in Nov 2022
This is the SEC's proposed change to N-PORT reporting rules
This is the SEC's proposed revised liquidity risk management rule from November 2022
This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022
This is the SEC rule mandating that certain institutional managers report their proxy 'say-on-pay' votes
This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers
This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...
This Advisers Act rule addresses the delivery of Form ADV
This is the Advisers Act's books and records rule
Timelier reporting would also allow other market participants, such as analysts and investment advisers, to better value the securities and make better recommendations
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