The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Monday, May 6, 2024. The meeting will include a discussion of Regulation Crowdfunding (Reg CF) and activity and… SEC Press Release
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SEC Staff Publishes New Registered Fund Statistics Report
The staff of the Securities and Exchange Commission today published a new report of Registered Fund Statistics, which is based on aggregated data reported by SEC-registered funds on Form N-PORT. The new report, which will be updated on a quarterly basis… SEC Press Release
SEC Issues Second Fee Rate Advisory for Fiscal Year 2024
The Securities and Exchange Commission today announced that, starting on May 22, 2024, the fee rates applicable to most securities transactions will be set at $27.80 per million dollars. Consequently, each self-regulatory organization will continue to pay the Commission a rate of $8 per million for covered sales occurring on […]
Exploring the Future of Asset Management: Insights from the SEC’s Upcoming Conference
The Securities and Exchange Commission’s Division of Investment Management is gearing up to host its much-anticipated second annual Conference on Emerging Trends in Asset Management. Scheduled for Thursday, May 16, 2024, this event promises to be a cornerstone for professionals from various sectors within the asset management industry, including regulators […]
SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
On March 27, 2024, the Securities and Exchange Commission (SEC) unveiled a set of amendments to internet-based investment advisers’ rules. These changes mark a significant shift in how digital advisory services operate, ensuring that they leverage modern technology to enhance investor protection and regulatory oversight. A Leap Forward for Internet […]
SEC Charges Former Arista Networks Chairman Andy Bechtolsheim with Insider Trading
The Securities and Exchange Commission today announced insider trading charges against Andreas “Andy” Bechtolsheim, the founder and Chief Architect of Silicon Valley-based technology company Arista Networks, Inc. To settle the SEC’s charges, Bechtolsheim… SEC Press Release
SEC Seeks Candidates for Investor Advisory Committee
The Securities and Exchange Commission is seeking five candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations. The Committee was established under the Dodd-Frank Wall Street Reform and… SEC Press Release
SEC Charges Northern Star SPAC for Material Misrepresentations in its IPO-Related Disclosures
The Securities and Exchange Commission today announced that Northern Star Investment Corp. II, a special purpose acquisition company (SPAC), agreed to settle charges that it made misleading statements in forms filed with the SEC as part of its January… SEC Press Release
SEC Charges Tallgrass Energy’s Former Board Member Roy Cook and Four Others with Insider Trading in Advance of Blackstone Acquisition
The Securities and Exchange Commission today announced insider trading charges against Roy Cook, a former board member of Tallgrass Energy LP, and four of his friends for trading on material nonpublic information in advance of a public announcement that… SEC Press Release
SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
The Securities and Exchange Commission today adopted rules to enhance and standardize climate-related disclosures by public companies and in public offerings. The final rules reflect the Commission’s efforts to respond to investors’ demand for more… SEC Press Release