Articles

Results 1 to 5 of 234


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…

Kelly Pendergast Carr, Nathaniel Segal, Jacob C. Tiedt

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…

Nathaniel Segal, Jacob C. Tiedt, Christina V. West

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…

John M. Sanders, Nathaniel Segal, Jacob C. Tiedt

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…

Nathaniel Segal, Jacob C. Tiedt, Tyrique J. Wilson

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…

Ryan Hajen, Nathaniel Segal, Jacob C. Tiedt