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Open Categories Menu SEC Proposed Pay to Play Rules Draw Many Comments Earlier this year the SEC proposed so-called “pay to play” rules which would restrict SEC registered investment advisers from managing money from state and local governments under certain circumstances. According to the SEC press release, “the measures are designed to prevent [...]
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Posts Tagged ‘ registered investment adviser ’
20 September
Section 13(d) Filings and Section 13(g) Filings
Section 13(d) of the Securities Act of 1934 requires any person who beneficially owns 5% or more of a class of equity securities of a publicly traded company to file a report with the SEC within 10 days of reaching the 5% ownership threshold. SEC Rule 13d-1 provides more detailed [...]
