June 24, 2022
· Confidential treatment requests for Form 13F (via EDGAR) · Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…
SEC Tag
June 21, 2022
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.
March 21, 2022
March 21, 2022
New cybersecurity rules are on the horizon for investment advisers and investment companies…
March 2, 2022
SEC proposed new Rule 13f-2 and amendments to Regulation SHO and CAT to increase market transparency regarding short selling, in…
February 22, 2022
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…
February 11, 2022
Reduce 13D / 13G filing deadlines to 5 days Require annual cyber security plan reviews Require private fund advisers to…
February 11, 2022
Release No. Date Details First Quarter 33-11028 Feb. 10, 2022 Modernization of Beneficial Ownership ReportingFile No: S7-06-22Other Release No: 34-94211Comments…
February 9, 2022
On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…
December 22, 2021
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
November 30, 2021
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
November 19, 2021
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…
November 12, 2021
In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…