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Topic: Investment Act/Investment Advisors Act

New Vote Reporting Disclosures Required on Form N-PX – Vote Reports Now Extend to All 13F Filers – No Longer Limited to Registered Funds
7/10/2023 | Posted by James Moloney; Andrew Fabens
SEC Issues New Guidance for Proxy Advisors and Investment Advisers Engaged in the Proxy Voting Process
8/23/2019 | Posted by Elizabeth Ising; James Moloney; Ronald Mueller; Brian Lane; Lori Zyskowski
House Financial Services Committee Approves Eight Bills Affecting Securities Regulation
7/16/2014 | Posted by James Moloney
Removal of General Solicitation Ban, Bad Actor Disqualification Rules to Become Effective September 23, 2013; Comment Period on Related Proposed Amendments Also to End September 23, 2013
7/24/2013 | Posted by Andrew Fabens; Stewart McDowell; Peter Wardle
SEC Approves Final Rules to Permit Advertising in Rule 506 and Rule 144A Offerings; Also Proposes Rules to Add Additional Investor Protections
7/11/2013 | Posted by Andrew Fabens; Peter Wardle; Stewart McDowell
Form 13H Filing Requirements for "Large Traders"
2/7/2012
SEC Finalizes Investment Adviser Registration Exemptions and Grants Extension to New Registrants
8/1/2011
The SEC Finalizes Its Private Fund Adviser Registration Rules and Related Exemptions
7/18/2011
With One Month to Spare, the SEC Will Consider Final Private Fund Adviser Registration Rules
6/9/2011
Disclosure of Adviser Conflicts -- When Is It Enough?
10/1/2010
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