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.
In a "Report on the 42nd Annual Small Business Forum," the SEC responded to several policy recommendations from market participants to improve the current capital raising regulatory framework.
The SEC set an effective date of August 21, 2023, for amendments that will remove references to credit ratings from existing exceptions to rules on market manipulation. The effective date was published in the Federal Register.
The SEC permanently suspended an exemption from registration that had been granted to an investment trust after it failed to promptly commence offerings following qualification of the exemption.