On November 2, 2022, the SEC proposed amendments to improve liquidity risk management programs (“LRMP”) and utilize swing pricing for the adjustment of net asset values on a per share basis.Read More
On Tuesday, October 10, 2023, the Securities and Exchange Commission (“SEC”) published amendments to the Securities Exchange Act of 1934 (the “Act”) under Sections 13(d) and 13(g). These amendments now require market participants to provide more timely reporting on beneficial ownership positions using new technical reporting requirements to better meet the needs of investors.
On Wednesday, September 13, 2023, the Securities and Exchange Commission (the “SEC”) released a proposed rule on EDGAR Filer Access and Account Management (the “Proposed Rule”). This Proposed Rule will require firms that maintain EDGAR accounts to designate certain authorized individuals to serve as account administrators instead of allowing group company logins.
On May 25, 2022, the SEC proposed amendments requiring registered investment advisers, certain advisers exempt from registration, registered investment companies, and business development companies to provide additional disclosures regarding their environmental, social, and governance (“ESG”) practices.
the SEC adopted amendments to Form N-PX filings to make proxy voting disclosures more useful and informative for investors. This high-level overview of the changes, including who it affects, timing, and best practices, might be helpful as you prepare for the effective date.