SEC Actions

Rule 151(a) currently sets forth the procedural requirements for filing papers with the Commission

These FAQs are directed at BDCs and mutual funds

The SEC's Division of Investment Management publishes FAQs giving guidance to mutual fund advisers on their compliance obligations regarding required filings

Staff’s letter stated that the staff would not recommend enforcement action to the Commission regarding these programs for six months from issuance of the letter, ...

The Division of Examinations’ new ESG risk alert “needs some context,” Commissioner Hester Peirce says in a new statement of her own. Peirce says she ...

We are issuing this statement to highlight the potential accounting implications of certain terms that may be common in warrants included in SPAC transactions and ...

GPB Capital, the private equity fund adviser at the center of multiple fraud investigations, says it’s down to its last few million dollars. GPB once ...

Market participants—including broker-dealers, exchanges, and RIAs—self-aggregate proprietary market data today. The Commission is adopting this provision to allow these market participants to aggregate consolidated market ...

Given this legal landscape, SPAC sponsors and targets should already be hearing from their legal, accounting, and financial advisors that a de-SPAC transaction gives no ...

No need to report home offices as "long as the employees are temporarily teleworking as part of the firm’s business continuity plan due to circumstances ...