The SEC set a comment deadline of November 28, 2023 for a proposal that would create a "tailored form" for registering the offerings of registered index-linked annuities.
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The SEC proposed a "tailored form" for registering the offerings of registered index-linked annuities.
A private equity firm settled SEC charges for failing to adequately disclose certain fees paid to an affiliated real estate brokerage firm.
SEC Chair Gary Gensler defended recent SEC regulatory initiatives pertaining to private and registered funds and described recent rule proposals meant to address emerging trends in investment management.
Comments on an SEC proposal to amend regulations on consumer financial privacy and information safeguards ("Reg S-P") are due by June 5, 2023.