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Q4 2023 Asset Management Regulatory Update - Securities

On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities").

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Securities and Exchange Commission in the New Year

Securities and Exchange Commission in the New Year
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SEC Adopts Securities Lending Disclosure Requirement

On October 13, 2023, the SEC adopted new Rule 10c-1a under the Securities Exchange Act of 1934, which will require the reporting of certain details…

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