News & Resources: Regulatory Updates

Amendments to Form 13F

The SEC recently adopted amendments to Form 13F, and the changes go into effect in less than a month, on January 3, 2023.

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Amendments to Form 13F

The SEC recently adopted amendments to Form 13F, and the changes go into effect in less than a month, on January 3, 2023.

The SEC’s Recent Statements on Burgeoning Investments

As new disclosure protocols are finalized and existing ESG guidelines become more prominent, questions remain in some areas of regulation.

The SEC’s Bitcoin Futures Warning for Mutual Funds

Market participants have pushed for cryptocurrency ETFs in recent years, with no sign the SEC will approve these products in the near future.

Temporary Changes to Document Retention Requirements

The SEC recently issued a statement temporarily amending certain SEC document retention requirements.

New Proposed Rule to Affect EDGAR Filing System

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.

Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements.

SEC Proposes Changes to Form 13F

The SEC proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

Final Rule: SEC to Modernize Closed-End Fund Requirements

On April 8, 2020, the SEC adopted a new final rule which will modernize closed end fund reporting requirements.

New Final Rule: Summary Prospectus for Variable Annuities

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 Issues Regulatory Relief Amid Form ID and Notarization Challenges

the SEC acknowledged in an announcement that it is aware of challenges with meeting certain requirements for initial access to the EDGAR filing system.

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