July 12, 2023- The U.S. House Committee on Financial Services held a hearing entitled, "Protecting Investor Interests: Examining Environmental and Social Policy in Financial.
The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing..
On Friday, October 7, the Securities and Exchange Commission (SEC) reopened the public comment period for eleven proposed rules whose comment periods closed after March 21, 2022.
In this issue, we cover regulatory developments impacting the investment management sector, including the Securities and Exchange Commission’s (SEC’s) focus on the annual 15(c) advisory.
The SEC recently announced that it is reopening comment periods on 11 rule proposals and one request for comment, including proposals related to SPAC projections, climate change.