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Important Dates and Deadlines for SEC Filers in 2022
Brad Packard
Happy (almost) New Years! We’ve compiled a list of dates and deadlines for Securities and Exchange Commission (SEC) filers to keep in mind going into …
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Performance-Based Investment Advisory Fees Update
Amin Kassim
On November 4, 2021, the Securities and Exchange Commission (SEC) issued amendments to Rule 205-3 under the Investment Advisers Act of 1940 …
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EDGAR Release 21.4 & New DEI Taxonomy
Amin Kassim
On September 20, 2021, the Securities and Exchange Commission (SEC) issued a Draft Electronic Data Gathering, Analysis, and Retrieval (EDGAR) Filer …
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Section 13 Filings: What You Need to Know
Cindy MacPherson
Section 13 of the Securities and Exchange Act of 1934 requires investment managers of certain publicly-traded equity securities to file reports on …
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Updates to Form 24F-2
Cindy MacPherson
In a release on April 8, 2020, the Securities and Exchange Commission (SEC) approved the requirement for filers to submit Form 24F-2 using an XML …
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The SEC Rolls Out Changes to Over-The-Counter Marketplaces
Brad Packard
Amendments to Securities & Exchange Commission (SEC) Rule 15c2-11 went into effect on September 28th of this year, impacting which …
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