By Joe Mont2019-03-21T20:43:00
The SEC is pitching rule amendments to improve access to capital and investor communications by business development companies that typically invest in small and developing companies and registered closed-end funds.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
2026-03-19T21:08:00Z By Aaron Nicodemus
The U.S. Securities and Exchange Commission’s Mark Uyeda told an audience of investment advisers that the SEC will no longer prioritize stand-alone enforcement actions for violations of the SEC’s rules on off-channel communications.
2026-03-19T14:43:00Z By Tom Fox
A sweeping proposed federal procurement clause would push AI oversight out of policy decks and into compliance operations, vendor management, and real-time control testing.
2026-03-18T21:56:00Z By Adrianne Appel
The U.S. Securities and Exchange Commission and the Commodities Futures Trading Commission have released an official interpretation of how federal laws will apply to cryptocurrencies and their transactions.
Site powered by Webvision Cloud