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Regulatory Oversight › Federal Register › Securities and Exchange Commission (SEC)

SEC Compliance Consultants, Inc. (SEC³)

Compliance Roundup for April 5, 2024

SEC Compliance Consultants, Inc. (SEC³) on

Compliance Update for the week Ending April 5, 2024 - For our clients and compliance colleagues, this weekly update will give you a quick look at the latest regulatory developments. Enjoy!...more

Holland & Knight LLP

SEC Commissioners Approve Proposal for Changes to Form PF

Holland & Knight LLP on

As anticipated in an earlier SECond Opinions post, the U.S. Securities and Exchange Commission (SEC) voted 3-1 today to approve proposed amendments to Form Private Fund (PF), a form the commission uses to collect data about...more

Bass, Berry & Sims PLC

Practical Takeaways on SEC Amended Disclosure Requirements for Business Description, Legal Proceedings and Risk Factors under...

Bass, Berry & Sims PLC on

On August 26, the SEC voted to adopt amendments to modernize the description of business (Item 101), legal proceedings (Item 103), and risk factor disclosures (Item 105) that registrants are required to make pursuant to...more

Mayer Brown Free Writings + Perspectives

SEC Informal Guidance Scrutinized by Commissioner and Subject to OMB Memo

Mayer Brown Free Writings + Perspectives on

On April 8, 2019, Commissioner Hester Peirce of the Securities and Exchange Commission (“SEC”) delivered a speech entitled “SECret Garden” at the Practicing Law Institute’s 2019 SEC Speaks conference. In her speech,...more

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