John S. Marten
Vedder Price PC
Articles
SEC Adopts Amendments to Filing Fee Disclosure and Payment Methods
USA - November 19 2021 On October 13, 2021, the SEC adopted amendments to modernize filing fee disclosure and payment methods for, among others, closed-end funds (other than…
SEC Proposes Amendments to Electronic Filing Requirements and Re-Proposes Certain Amendments to Reports of Institutional Investment Managers
USA - November 19 2021 On November 4, 2021, the SEC announced proposed amendments to update electronic filing requirements that, if adopted, would require the electronic…
SEC Chair Gary Gensler Provides Statement on Complex Exchange-Traded Products
USA - November 19 2021 On October 4, 2021, SEC Chair Gary Gensler issued a statement announcing that he had directed the SEC staff to review the risks of complex financial…
SEC Staff Issues Update Regarding Withdrawal and Modification of Staff Letters Relating to New Adviser Marketing Rule
USA - November 19 2021 On October 29, 2021, the staff of the SEC's Division of Investment Management issued an information update identifying the staff letters that have…
Division of Examinations Risk Alert Identifies Compliance Issues at Registered Investment Companies
USA - November 19 2021 On October 26, 2021, the SEC's Division of Examinations issued a risk alert identifying observations made during a series of examinations focused on…
