Small Funds Content

The Investment Company Institute's next Small Funds Committee Regulatory Update will take place on Wednesday, February 16, 2022, 1:00 p.m.-2:00 p.m. ET.

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.

At a public session on December 17, the US Financial Stability Oversight Council (FSOC or Council) issued its 2021 annual report to Congress.

The Department of Labor (DOL) and the Treasury Department and Internal Revenue Service (IRS) recently issued their updated Fall 2021 Semi-Annual Regulatory Agendas (Agendas), which include projected dates for issuance of proposed and final regulations.

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.