Tag: SEC Investment Management
Federal Agencies Issue Fall 2020 Regulatory Agendas; Custody Moves to Long-Term Agenda
Federal agencies recently released the fall 2020 update to their regulatory agendas. Each agency’s agenda is generally divided into four sections: (i) the pre-rule stage, which includes actions an agency...
December 21, 2020
Tags: AML, CFTC, Custody, SEC Investment Management
The SEC’s Division of Investment Management announced in an Information Update a new web intake form for no-action and interpretive letter requests and related procedures. Requests submitted through the form...
December 15, 2020
SEC’s Division of Investment Management Adds List of Modified or Withdrawn Staff Statements to Website March 23, 2020 The SEC’s Division of Investment Management has issued two Information Updates...
March 23, 2020
Tags: No-Action Letter, SEC Investment Management, Variable Insurance Products
Division of Investment Management Updates Hearing Request Procedures for Applications
Division of Investment Management Updates Hearing Request Procedures for Applications April 17, 2020 In light of the disruptions caused by COVID-19, the SEC’s Division of Investment Management has issued...
April 17, 2020
Division of Investment Management Reminds Investment Companies of their Disclosure Obligations
Division of Investment Management Reminds Investment Companies of their Disclosure Obligations April 17, 2020 The SEC’s Division of Investment Management recently issued a staff statement reminding investment companies to...
April 17, 2020
SEC Withdraws No-Action Letter on State Control Share Acquisition Statutes, Requests Feedback on Further Action June 3, 2020 The SEC’s Division of Investment Management staff has issued a statement...
June 03, 2020
SEC Provides No-Action Relief Related to Participation in Fed Lending Facility
SEC Provides No-Action Relief Related to Participation in Fed Lending Facility June 3, 2020 The SEC’s Division of Investment Management has issued a no-action letter related to participation in...
June 03, 2020
Tags: No-Action Letter, Federal Reserve Board, Investment Company Act, SEC Investment Management
SEC Adopts Expedited Procedure for Exemptive Applications, Guidelines for Other Applications under the Investment Company Act July 10, 2020 The SEC has amended the procedures for reviewing exemptive applications...
July 10, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
SEC Investment Management Seeks Feedback on MiFID II’s Impact on Research for Advisers
The SEC’s Division of Investment Management staff is once again actively seeking feedback from asset managers on a number of questions regarding MiFID II and payments for research. Division Director...
September 23, 2020
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