SEC Tag

·       Confidential treatment requests for Form 13F (via EDGAR) ·       Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…

Our Greg Hotaling analyzes the SEC’s recent ESG related rulemaking here: https://cssregtech.com/2022/06/esg-disclosures-by-investment-firms-a-comprehensive-look-at-the-secs-proposal. 

New cybersecurity rules are on the horizon for investment advisers and investment companies…

SEC proposed new Rule 13f-2 and amendments to Regulation SHO and CAT to increase market transparency regarding short selling, in…

On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…

Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…

Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…

On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…

The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…

On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…

On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…

In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…