Results 1 to 5 of 19

SEC proposes monthly short sale reporting and aggregated public disclosure

USA - March 9 2022 On February 25, 2022, the Securities and Exchange Commission (SEC) proposed Rule 13f-2 under the Securities Exchange Act of 1934 (the Exchange Act)…

Aaron Friedman, Elizabeth Mitchell

SEC Proposes Significant Amendments to Form PF and One-Business-Day Reporting Requirements

USA - February 3 2022 On January 26, 2022, the Securities and Exchange Commission (SEC) proposed amendments to private fund reporting rules that would increase the…

Aaron Friedman, Elizabeth Mitchell

ESG Asset Managers and Investment Funds—Near Term SEC Enforcement Risk

USA - August 3 2021 The Securities and Exchange Commission (SEC) threw down the gauntlet after President Biden’s election and asserted its interest in greater regulation…

Amy R. Doberman, Lorraine B. Echavarria, Matthew B. Holmwood, Andrew Miller

SPAC Transaction Explosion Drives SEC Enforcement Focus

USA - April 2 2021 In the face of volatile markets and a global pandemic, an old capital markets vehicle has been taking the markets by storm: special purpose…

Michael Mugmon, Meredith B. Cross, Lorraine B. Echavarria, Lisa Firenze, Aaron Friedman, William R. McLucas, Elizabeth Mitchell, Glenn R. Pollner, Nicole Rabner

SEC Proposes to Modernize Fund Communications

USA - August 31 2020 On August 5, 2020, the Securities and Exchange Commission (SEC) proposed amendments to the disclosure framework for mutual funds and exchange-traded…

Amy R. Doberman, Olga Kamensky