The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections. A universal proxy card includes the names of...
In a policy win for the IAA, the SEC has adopted a new “fund of funds” rule that does not include a proposed redemption limitation on a fund that acquires...
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications. The relief applies...
The SEC has adopted amendments to Regulation S-X and other regulations in order to “improve for investors the financial information about acquired or disposed businesses, facilitate more timely access to...
In response to the coronavirus, the SEC’s Division of Investment Management extended no-action relief that it provided in February 2019 from certain in-person voting requirements for fund directors. The February...
The SEC’s Office of Compliance Inspections and Examinations (OCIE) has published a Risk Alert that provides examples of the most common deficiencies cited in examinations of registered investment companies, money...
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