CCO (Chief Compliance Officer) Content

On January 26, the SEC approved proposed amendments to Form PF in an open meeting through a three-to-one vote. Generally, Form PF is filed by investment advisers to private funds to provide confidential information to the SEC and the Financial Stability Oversight Council (FSOC) about...

In November, the SEC issued two proposals. One would mandate the electronic filing of certain forms that currently must be filed on paper, as well as update certain other forms and processes. The other would require electronic filing through EDGAR of documents that currently may be...

In November, the SEC proposed changes to its 2020 proxy advice amendments. Most notably, the proposal would rescind provisions in the 2020 amendments.

The SEC's Division of Enforcement today announced the settlement of an action with J.P. Morgan Securities, LLC, a broker-dealer. According to the SEC's press release announcing the action, it involved "widespread and longstanding failures by the firm and its employees to maintain and...

The Securities and Exchange Commission recently proposed amendments that would change certain insider trading plans under Rule 10b5-1 under the Securities Exchange Act of 1934 and related disclosure.

On Wednesday, the Securities and Exchange Commission proposed amendments that would require new disclosures when an issuer repurchases its own equity securities.

Last December, the SEC adopted new Rule 2a-5 under the Investment Company Act, which addresses the fair valuation responsibilities of funds and their boards and advisers, along with a companion recordkeeping rule.

The Office of Information and Regulatory Affairs released the Fall 2021 Unified Agenda of Regulatory and Deregulatory Actions on December 13, 2021. The agenda includes regulatory actions that the SEC and CFTC expect to take between now and October 2022.