SEC.gov
The Securities and Exchange Commission has adopted rule amendments that narrow the exemption from national securities association registration, enhancing oversight of broker-dealers engaged in proprietary trading across markets.
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Posted 8/23/2023, 3:35:03 PM
sec.gov
Relevant topic timeline:
The U.S. Securities and Exchange Commission (SEC) has implemented new rules aimed at increasing transparency and accountability in the private equity and hedge fund industry, requiring the issuance of quarterly fee and performance reports, disclosure of fee structures, and annual audits, while banning preferential treatment for certain investors.
The Securities and Exchange Commission has approved new rules aimed at increasing transparency and reducing fees for private-equity and hedge funds, posing a significant regulatory challenge to firms like Blackstone and Apollo Global Management.
The Securities and Exchange Commission has approved an amendment to the National Market System Plan for the Consolidated Audit Trail, adopting a revised funding model and fee schedule for self-regulatory organizations participating in the CAT NMS Plan.
The Securities and Exchange Commission has adopted amendments to the Investment Company Act "Names Rule" to prevent fund names from misleading investors about the fund's investments and risks, ensuring truth in advertising and promoting fund integrity.