21,175 results found

The SEC granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices")

Subject to certain conditions, the SEC Division of Corporation Finance granted an exemption from requirements under Securities Exchange Act Rule 14e-5 to an investment company.

The SEC granted limited exemptive relief from the National Market System Plan governing the Consolidated Audit Trail ("CAT NMS Plan") clock synchronization compliance deadline.

On August 23, the SEC announced that it was raising the fees it charges issuers to register their securities.

Today, the SEC announced that it was increasing the fees it charges issuers to register their securities. In fiscal 2023, the fee rates for registration of securities and certain other transactions...

The SEC announced that the next meeting of the Investor Advisory Committee will be held on October 9, 2014.

The SEC's Division of Enforcement issued answers to frequently asked questions (FAQs) on its Share Class Selection Disclosure Initiative, providing additional information about adviser eligibility....

Certain aspects of the securities laws require disclosure as to a spouse. For example, Section 16 reporting includes the spouse of the person responsible to report.

The Divisions of Trading and Markets provided guidance on the commission’s final rule implementing Section 13 of the Bank Holding Company Act of 1956.

The SEC Office of Compliance Inspections and Examinations issued a risk alert regarding investment advisers and investment companies that outsource their Chief Compliance Officer (CCO) duties to unaffiliated third-parties.

The SEC's Division of Enforcement announced the Share Class Selection Disclosure Initiative, a self-reporting initiative designed ...

Scott Gluck published "SEC Lifts Ban on General Solicitations – Then Proposes Regulations" in the September 2013 edition of Middle Market Growth, an Association of Corporate Growth publication.

On August 24, the SEC announced that it was reducing the fees it charges issuers to register their securities.

On February 27, the Securities Exchange Commission (SEC) modified the submission deadlines for registered investment companies filing non-public monthly reports on Form N-PORT. Form N-PORT

The SEC, the MSRB and FINRA opened registration for the Compliance Outreach Program for Municipal Advisors to be held from 3:00 p.m. to 4:30 p.m. Eastern time on November 10, 2016 as a live webcast available on the MSRB website.

The SEC named Stephanie Avakian and Steven Peikin as Co-Directors of the SEC Division of Enforcement. Ms. Avakian was Acting Director of the Division of Enforcement.

The SEC appointed Ernesto A. Lanza the Acting Director for the Office of Municipal Securities ("OMS").

Ms. Kimmel previously served as the Head of Regulatory and Compliance, Wealth Management at Refinitiv, a provider of financial markets data and infrastructure.