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SEC: Rulemaking

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 ...
My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"
"The rules create significant risks arising from reduced transparency for investors and potentially facilitating increased economic concentration, the latter risk being especially acute for small ...
The proposed amendments also will help to ensure that the Participants fulfill their obligations to deliver a functional CAT on a reasonably achievable timeframe
SEC issues slight correction of variable annuity contracts' final rule
The IAA: The proposal remains vague and would leave advisers open “to second-guessing in hindsight"
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 ...
Boards would have to ensure that investment advisers report no less than quarterly on a range of issues
The proposed rule would provide requirements for determining fair value in good faith with respect to a fund
Extension of all comment periods by at least 60 days recommended
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA
We are adopting temporary final rules for Form ID filers and for issuers subject to reporting obligations pursuant to Regulation Crowdfunding and Regulation A
A revised form would require the disclosure of the compensation paid to investment advisers
IAs and B-Ds would have to have “sufficient information to evaluate an Offeree’s financial circumstances and sophistication
Industry comments signal an organized campaign to deluge the SEC and steer the regulator away from going through with proscribed compliance due diligence steps
The changes bring the act in line with the RBIC Advisers Relief Act of 2018
We are proposing to modernize and simplify the Securities Act integration framework for registered and exempt offerings
Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"

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