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United States - Securities - SEC Adopts Major Changes To SPAC Rules

On Jan. 24, 2024, the Securities and Exchange Commission (the "SEC") adopted final rules to enhance disclosures and provide additional investor protections in initial public offerings (IPOs) for special.

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Top Tips for Updating Your 2024 Compliance Program | SEC Compliance Consultants, Inc (SEC³)

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is.

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SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP
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DTCC Shares Comments On Industry s Affirmation Progress, With T+1 Implementation Date Approaching

DTCC Shares Comments On Industry s Affirmation Progress, With T+1 Implementation Date Approaching
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DTCC Comments on Industry s Affirmation Progress, With T+1 Implementation Two Months Away

DTCC Comments on Industry s Affirmation Progress, With T+1 Implementation Two Months Away
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Exchange act ruleBroker affirmation rateManager auto affirmationInvestment managersInvestment managerAffirmation rateAuto affirmationAct ruleNet settlement system