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Open Categories Menu In May we reported that the SEC was requesting comments on the new Proposed Investment Adviser Custody Rules. The SEC’s comment period ended this past week with a flurry of activity before the submission deadline. As we reported previously, there has been a general industry backlash against the rule because [...]
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Posts Tagged ‘ SEC custody rule ’
28 May
Proposed Amendments to the Investment Advisers Act: SEC Requests Feedback
The Securities and Exchange Commission (SEC) is proposing certain amendments to the custody rule under the Investment Advisers Act of 1940 and related forms. Due to the complexity of the various impositions placed on industry professionals by the proposed amendments, the SEC is formally requesting feedback from industry professionals regarding [...]
