Tuesday, April 02. 2024

SEC Adopts Amendments to Internet Advisers Exemption Rule

On March 27th, the SEC adopted amendments to the “internet adviser exemption” rule, which allows certain investment advisers that provide investment advisory services through the internet to register with the SEC. In 2002, the SEC granted a narrow exception which allowed internet-based advisers to register with the SEC instead of with the states. The SEC proposed these rules in July 2023. Continue reading "SEC Adopts Amendments to Internet Advisers..." »
Posted by
LeAnn Dey
in SEC, SEC Filing Help at 14:33

SEC Adopts New Rule Concerning Daily Market Data Report Requirements

The SEC has adopted new Regulation SE under the Securities Exchange Act that creates a regime for the registration and regulation of security-based swap execution facilities (SBSEFs). The new regime also addresses other issues related to security-based swap execution. Continue reading "SEC Adopts New Rule Concerning Daily Market..." »
Posted by
LeAnn Dey
in DERA, SEC, SEC Filing Help at 13:06
(Page 1 of 1, totaling 2 entries)