On Nov. 19, the U.S. Securities and Exchange Commission (SEC) adopted final amendments, available here, to Regulation S-K, and related rules and forms, to further “modernize, simplify and enhance” certain financial disclosure...more
On May 21, the U.S. Securities and Exchange Commission (SEC) voted to adopt amendments to its rules and forms to assist companies in determining whether an acquired or disposed business is significant and to improve the...more
On Aug. 8, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to modernize the description of business (Item 101), legal proceedings (Item 103) and risk factor disclosures (Item 105) that companies...more
On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a highly anticipated set of rules addressing the standard of conduct of registered investment advisers (RIAs) and broker-dealers aimed at increasing...more
7/22/2019
/ Best Interest Standard ,
Broker-Dealer ,
Compliance Dates ,
Conflicts of Interest ,
Disclosure Requirements ,
Duty of Care ,
Fiduciary Duty ,
Form CRS ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct
On May 3, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments, available here, to its rules and forms to simplify the disclosure requirements for financial statements relating to acquisitions and...more