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The SEC issues a slight correction of its swap recordkeeping rule for B-Ds
Oxbow did not adequately disclose all material facts regarding the conflict of interest that arose when it invested advisory clients in a share class that ...
The staff would not recommend enforcement action to the Commission against a closed-end fund under for opting in to and triggering a control share statute ...
In the staff’s view, the terms and conditions of TALF 2020 are substantially similar to those of TALF 2008 for purposes of the staff no-action ...
Compliance staff failed to comply with policies and procedures designed to prevent misuse of information
TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps
These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
FINRA is uniquely qualified to provide the Commission with a familiar and consolidated platform for standalone SBSEs and bank SBSEs to file the FOCUS Report
The proposed amendments also will help to ensure that the Participants fulfill their obligations to deliver a functional CAT on a reasonably achievable timeframe
Action relates to collateral and asset-back securities
Defendants also violated their fiduciary duty by failing adequately to disclose to their clients the conflict of interest inherent in these transactions
How to direct your 13F questions to the SEC
Clients, however, did not have this information available to them because execution costs from trading away were not visible to clients on their account documents ...
BDC can acquire an investment adviser
More on recommendations and also on making disclosures in Spanish
Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...
An employer that applied for a PPP loan, received payment, and repays the loan by the safe harbor deadline (May 14, 2020) will be treated ...
The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...
Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...
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