The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.
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.
Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021 Federal agencies recently released the spring 2021 update...
SEC Investment Management Highlights Focus Areas in Statement on Funds Investing in Bitcoin Futures May 19, 2021 The SEC’s Division of Investment Management (IM) staff has issued a statement...
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
SEC Requests Comment on Money Market Fund Report February 10, 2021 The SEC is requesting public comment on potential reforms for money market funds that were discussed in a...
SEC No-Action Letter Allows Funds to Custody Loan Interests January 25, 2021 The SEC’s Division of Investment Management has issued a no-action letter that allows registered funds to self-custody...
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