News & Resources

Whether you want to read the full article, or just get a quick overview that includes what it means for you, you’ll find the latest SEC-related news here.

Form SHO Deadline Pushed Back to 2026

The SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026.

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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.

Temporary Changes to Document Retention Requirements

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

Are your documents and website up to ADA standards?

Many funds are making the transition to adopt accessibility standards in their organizations to be ADA compliant and to better serve all types of stakeholders.

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 Adopts Rule Amendments on Proxy Voting Process

The SEC adopted rule amendments issuing additional guidance on proxy voting responsibilities of investment advisers.

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.

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