SEC Proposes Amendments to Definitions for Investment Companies and Investment Advisers

nospam@example.com (LeAnn Dey) — Fri, 23 Jan 2026 11:15:00 -0500

The SEC has announced that it is proposing amendments to the rules pursuant both to the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that define the terms “small business” and “small organization” for purposes of the Regulatory Flexibility Act to increase the asset-based thresholds used in those definitions. Continue reading "SEC Proposes Amendments to Definitions for Investment Companies and Investment Advisers"

SEC to Host Compliance Outreach on Regulation S-P

nospam@example.com (LeAnn Dey) — Tue, 20 Jan 2026 09:45:00 -0500

The SEC’s Divisions of Examinations, Investment Management, and Trading and Markets will hold the final of three compliance outreach events that discuss the 2024 adoption of amendments to Regulation S-P. The last of these events is geared toward each registrant type and has been scheduled according to compliance deadlines published in the Regulation S-P rule amendments. The webcast will take place on Thursday, January 22, 2026, from 11:00 a.m. to 12:30 p.m. Eastern. The event is open for the public to attend virtually on the SEC’s website. Though not required for remote attendance, prior registration is preferred. Continue reading "SEC to Host Compliance Outreach on Regulation S-P"

Novaworks Weblog - Investment Management

SEC Proposes Amendments to Definitions for Investment Companies and Investment Advisers

SEC to Host Compliance Outreach on Regulation S-P