Tag: Division of Investment Management
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
SEC Withdraws Certain COVID Relief for Funds, Issues Report on Prime Money Market Fund Activity at Onset of Pandemic April 27, 2021 The SEC’s Division of Investment Management is...
April 27, 2021
Tags: Coronavirus, COVID-19, Division of Investment Management, Money Market Fund, Mutual Funds
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