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SEC Adopts Amendments to Exemptive Applications Procedures

On July 6th, the SEC announced that it has voted to adopt rule amendments that will establish an expedited review procedure for exemptive and other applications under the Investment Company Act that are substantially identical to recent precedent. It will also create a new informal internal procedure for applications that would not qualify for the new expedited process. These actions are intended to make the application process more efficient as well as to provide additional certainty and transparency regarding the process.

Posted: July 8, 2020 11:56 am by The Novaworks Team in SEC News, Filer News

SEC Statement Regarding Requirements for Paper Filings (Other than Form 144) in Light of COVID-19 Concerns

July 7, 2020 1:41 pm – The SEC has released an additional statement concerning paper filing requirements given the ongoing logistical difficulties caused by the COVID-19 pandemic. [...]

SEC Issues Statement on Rule 302(b) of Regulation S-T in Light of COVID-19

July 6, 2020 12:27 pm – The SEC has issued a statement regarding Rule 302(b) of Regulation S-T and its signatory requirements. This statement pertains to concerns stemming from the ongoing COVID-19 pandemic. [...]

SEC Closed Friday, July 3

July 2, 2020 5:01 pm – The SEC will be closed Friday, July 3 in observance of Independence Day. The EDGAR System will not receive, process or accept filings on this day. [...]