The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.
January 27, 2022
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
SEC Issues Interim Updates to Whistleblower Procedures Commissioners Peirce and Roisman Take Issue August 24, 2021 The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address...
August 24, 2021
Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule CorpFin Delays Enforcement Recommendations for Now; Two Commissioners Object June 2, 2021 SEC Chair Gary Gensler In a...
June 02, 2021
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021 The SEC’s Asset Management Advisory Committee’s (AMAC’s)...
April 02, 2021