The SEC adopted amendments to rules governing beneficial ownership reporting, including shorter deadlines for initial and amended Schedule 13D and 13G filings.
The IAA submitted comments to the SEC on three major rule proposals affecting investment advisers – cybersecurity, beneficial ownership, and T+1 settlement.
Private Fund Adviser Fined Over Failure to File Amendments to Schedule 13D Filings October 2, 2020 A New York-based private fund adviser was fined $100,000 in connection with failures...
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