SEC Amends Rules to Facilitate Electronic Submission of Filings
The SEC has taken two further actions acknowledging the widespread use of electronic signatures and related technological developments, as well as the continuing need to support remote workforces.
November 18, 2020
The SEC’s Asset Management Advisory Committee has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization.
November 10, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future
The SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking regulation.
October 05, 2020
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for delivering required disclosures to investors.
September 23, 2020
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes.
September 22, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
DOL Adopts E-Delivery Rule Supported by IAA
In a highly-anticipated and welcome move, the Department of Labor has adopted a rule permitting electronic delivery of certain retirement plan information.
May 27, 2020
Updates from the IRS, and IAA comments on the DOL Electronic Disclosures Proposal.
November 25, 2019
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