The SEC adopted today amendments that will, among other things: shorten the deadline for initial Schedule 13D filings from 10 days to five business days; require that Schedule 13D amendments be f...
https://www.investmentfundlawblog.com/sec-adopts-13d-13g-amendments/
The Securities and Exchange Commission has proposed to amend rules and forms under both the Investment Advisers Act of 1940 and the Investment Company Act of 1940 to require registered investment...
https://www.investmentfundlawblog.com/sec-proposes-esg-rule/
In today’s press release, the Securities and Exchange Commission announced the adoption of rules and amendments to require certain documents, including Form ADV-NR, filed by investment advisers...
Enhanced Focus on Private Funds, ESG, and Operational Resiliency The Securities and Exchange Commission’s Division of Examinations today announced its 2022 examination priorities. The Divisio...
The SEC today proposed rule amendments to update beneficial ownership reporting under 1934 Act Sections 13(d) and 13(g). The proposed amendments to Regulation 13D-G would: accelerate the filing d...
https://www.investmentfundlawblog.com/sec-proposed-rules-to-update-beneficial-ownership-reporting/
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed ...
https://www.investmentfundlawblog.com/sec-proposes-amendments-to-enhance-private-fund-reporting/
Recent enforcement action could signal expanding the boundaries of misappropriation theory, with significant implications for SEC-regulated entities and other market participants. TAKEAWAYS With ...
https://www.investmentfundlawblog.com/gensler-sec-expands-scope-of-insider-trading-enforcement/
Most 3(c)(1) private equity and hedge funds are impacted; exempt venture capital funds are not impacted. Effective August 16, 2021, the dollar thresholds specified in the definition of “qualifi...
Today, the Securities and Exchange Commission announced it had finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to...
https://www.investmentfundlawblog.com/sec-adopts-modernized-marketing-rule-for-investment-advisers/
The Commodity Futures Trading Commission at its open meeting on Tuesday, October 6, unanimously approved a final rule adopting amendments to Form CPO-PQR for commodity pool operators (CPOs). The ...
https://www.investmentfundlawblog.com/commodity-pool-operators-final-rule-amending-form-cpo-pqr/