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SEC Adopts Amendments to Rule 10b5-1 Plan Requirements and Increases Disclosure Requirements Regarding Insider Trading Policies

USA - December 27 2022 On December 14, the Securities and Exchange Commission (SEC) unanimously adopted amendments to Rule 10b5-1 and related regulations governing "10b5-1…

Matthew S. Brown, Farzad Damania, Chris Harrison, Jennifer L. Howard, Timothy J. Kirby, Lawrence D. Levin, Michelle Mount, Jeffrey R. Patt, Alyse A. Sagalchik, Jonathan D. Weiner, Mark D. Wood

December 9 Looms as Compliance Date for Private Investment Funds and Certain Investment Advisers to Comply With New Cybersecurity Requirements

USA - December 6 2022 As we discussed in our March 3 Advisory, on October 27, 2021, the Federal Trade Commission (FTC) announced revisions (the 2021 Revisions) to its…

Wendy E. Cohen, David Y. Dickstein, Richard D. Marshall, Trisha Sircar, Allison C. Yacker, Lance A. Zinman

Financial Markets and Funds Quick Take | Issue 4

USA - July 19 2022 The Securities and Exchange Commission (SEC) has adopted amendments requiring investment advisers, institutional investment managers and other…

Wendy E. Cohen, Julie L. Gottshall, Jennifer L. Howard, Richard D. Marshall, Robert Weiss, Allison C. Yacker

SEC Proposes Additional ESG Disclosure Requirements for Regulated Funds and Related Expansion of Investment Company Act "Names Rule"

USA - June 23 2022 The Securities and Exchange Commission (SEC) recently proposed two sets of rule amendments impacting BDCs and registered investment…

Jennifer L. Howard, Richard D. Marshall, Allison C. Yacker

SEC Proposes Changes to Investment Company Act 'Names Rule'

USA - May 25 2022 The SEC has proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the "names rule")…

Jennifer L. Howard