News & Analysis as of September 18, 2024

Securities and Exchange Commission (SEC)

+ Follow

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date

Seward & Kissel LLP on 4/19/2024

Who may be interested: Registered-Investment Companies; Investment Advisers; Broker-Dealers - Quick Take: In May 2023, the SEC adopted several Rules and Rule amendments which, among other things, shorten the standard...more

SEC Adopts New Rules That Will Require More Market Participants to Register as Dealers

WilmerHale on 2/27/2024

On February 6, 2024, by a vote of 3-2 along party lines, the Securities and Exchange Commission (the SEC or the Commission) adopted Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Exchange Act), which...more

SEC Proposes Rules for Enhanced Reporting of Proxy Voting by Registered Investment Companies and Reporting on Executive...

Faegre Drinker Biddle & Reath LLP on 10/20/2021

On September 29, 2021, the U.S. Securities and Exchange Commission (SEC) proposed amendments to Form N-PX to provide greater transparency to the information registered management investment companies (Funds) report about...more

New Guidance Allows Publicly-Offered REITs and RICs to Issue up to 90% of Qualifying Dividends in the REIT or RIC’s Own Stock...

Proskauer - Tax Talks on 5/13/2020

On May 4, 2020, the IRS issued Revenue Procedure 2020-19, which temporarily allows a publicly-offered REIT or RIC to pay as much as 90% of a distribution in its own stock (rather than cash or other property) and still have...more

SEC Proposes New Rules and Amendments to Update the Approach to the Regulation of Funds’ Use of Derivatives and Other Transactions

Dechert LLP on 11/27/2019

The U.S. Securities and Exchange Commission on November 25, 2019 approved for publication a three-part rule proposal related to the use of derivatives and certain other transactions by registered investment companies (i.e.,...more

SEC Proposes Reform of "Test-the-Waters" Communications Rules

Proskauer Rose LLP on 2/22/2019

On February 19, 2019, the Securities and Exchange Commission (the "SEC") proposed Rule 163B under the Securities Act of 1933, as amended (the "Securities Act"), which would permit all prospective issuers, including registered...more

The SEC prunes its disclosure rules and forms, but will the changes bear fruit for registered investment companies and BDCs?

Eversheds Sutherland (US) LLP on 9/6/2018

The US Securities and Exchange Commission (SEC) has adopted final rules to eliminate “redundant, duplicative, overlapping, outdated, or superseded” disclosure requirements in light of other SEC disclosure requirements and US...more

SEC Provides Regulatory Relief to Entities Affected by Recent Hurricanes

Dechert LLP on 10/11/2017

The U.S. Securities and Exchange Commission (SEC) on September 28, 2017 announced that the SEC and its staff are providing relief to aid regulatory compliance with certain provisions of the federal securities laws by certain...more

8 Results

View per page

Page: of 1

Securities Exchange Act › Registered Investment Companies (RICs) › Securities and Exchange Commission (SEC)

"My best business intelligence, in one easy email…"