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The final rule, which the SEC approved at a closed-door meeting on September 25, 2019, ... (the 1940 Act) becomes effective 30 days after publication in the Federal Register.
The SEC's current custody rule, added to the Investment Advisers Act in 1962, seeks to provide another layer of investor protection by placing third-party custodians in a position to detect any ...
The SEC created rules to govern the trading process, including the settlement date. In March 2017, the SEC shortened the trade settlement period to T+2, or two days after the trade date.
Under the SEC Pay-to-Play Rule, an investment adviser is prohibited from receiving compensation for managing a government entity's investments for two years after it, a covered employee, or a PAC ...
Hedge fund industry asks for 'Day One' reprieve on SEC rules. By Nell Mackenzie. January 21, 2025 3:28 PM UTC Updated January 21, 2025 The seal of the U.S. Securities and ...
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