The SEC recently adopted amendments to Form 13F, and the changes go into effect in less than a month, on January 3, 2023.
As new disclosure protocols are finalized and existing ESG guidelines become more prominent, questions remain in some areas of regulation.
Market participants have pushed for cryptocurrency ETFs in recent years, with no sign the SEC will approve these products in the near future.
The SEC recently issued a statement temporarily amending certain SEC document retention requirements.
The SEC proposed a new rule under Regulation S-T, Rule 15, which aims to make the EDGAR filing process more efficient, consistent, and reliable.
The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements.
The SEC proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.
On April 8, 2020, the SEC adopted a new final rule which will modernize closed end fund reporting requirements.
New disclosures will provide investors essential information about a contract’s terms, benefits, and risks in a reader friendly presentation, much like the summary prospectuses already delivered by mutual funds.
the SEC acknowledged in an announcement that it is aware of challenges with meeting certain requirements for initial access to the EDGAR filing system.