Investment Company Act 1940

SEC proposes expanding fund cross-trading eligibility, restoring many fixed-income transactions while adding safeguards.

The meeting will be held at 10am ET, open to the public, and offered via webcast on the SEC’s website.

A summary of the key changes reflecting the policy shift, as well as important updates modernizing and standardizing aspects of SEC enforcement processes.    

For firms balancing innovation with fiduciary duty, this is a timely opportunity to strengthen custody oversight, re-evaluate service providers, and prepare for future regulatory developments.

The SEC is signaling a more streamlined, flexible approach to co-investment rules.

Guidance on where to focus when preparing for the 2024 SEC exams.

Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.