Tag: Division of Investment Management
Spring Regulatory Agendas Officially Published
Federal agencies issue Spring 2025 Reg Flex rulemaking agendas, including several potential new SEC rules.
September 08, 2025
Tags: Advocacy, Division of Investment Management, Paul Atkins, Regulatory Agendas, SEC Investment Management, Trump Administration
SEC Issues Marketing Rule Relief in Response to IAA Advocacy
In response to IAA advocacy, the SEC Division of Investment Management staff issued new FAQs that address net performance questions under the Marketing Rule.
March 20, 2025
SEC Finalizes T+1 Rules, Proposes Massive Custody Rule Changes
The SEC has finalized its rules to shorten the standard settlement cycle for most securities transactions and proposed amendments to the custody rule and related recordkeeping and Form ADV changes.
February 16, 2023
Tags: Custody, Division of Investment Management, Recordkeeping, Securities Settlement Cycle, Trading
SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation
As expected, the SEC is withdrawing certain staff no-action letters relating to the current Advisers Act Advertising and Cash Solicitation Rules.
November 12, 2021
Tags: Advertising Rule, Division of Investment Management, Marketing Rule, Solicitation Rule
The SEC’s Division of Investment Management is terminating an exemptive order and withdrawing two no-action letters that were issued in March 2020 as part of the SEC’s response to the...
April 27, 2021
Tags: Coronavirus, COVID-19, Division of Investment Management, Money Market Fund, Mutual Funds
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