The SEC adopted rule and form amendments to require certain financial documents to be filed electronically through the EDGAR and Investment Adviser Registration Depository systems.
The Managed Funds Association raised substantive concerns on an SEC proposed rule for short sale reporting by issuers and institutional investment managers.
The SEC proposed new rules and amendments to comply with Congress’s mandate to provide greater short sale transparency to investors.
SEC Chair Gary Gensler urged regulators to update policy and monitor economic changes as part of a dynamic approach to regulation.
SIFMA and the Asset Management Group raised concerns regarding an SEC-proposed rule that would create extensive reporting requirements for any individuals loaning a security.