SEC Adopts Rule Amendments Archives

SEC Adopts Amendments Affecting Internet Investment Advisers

SEC Releases Introduction The SEC adopted amendments that affect the way Internet Investment Advisers register, particularly with small Investment Advisers. Although the different potential rule adoptions in 2024 address many topics, […]

Modernization of Beneficial Ownership Reporting | SEC Adopts Rule Amendments

SEC Releases Brief Introduction On October 10th, the SEC adopted rule amendments related to beneficial ownership reporting requirements. The amendments to Section 13(d) and 13(g) of the Securities Exchange Act […]

Impact on Fund Names | SEC Adopts Rule Amendments

SEC Releases Brief Introduction On September 20th, the SEC adopted Rule enhancements to prevent misleading or deceptive Investment Fund Names. The main focus by the SEC of this new […]