Wednesday, June 07. 2023

SEC Approves Rules to Prevent Fraud Related to Security-Based Swaps Transactions and Prevent Undue Influence Over CCOs

On June 7th, the SEC announced that it is adopting new Rule 9j-1, which is designed to prevent fraud, manipulation, and deception related to executing or attempting to execute any transaction (including purchasing or selling, inducing or attempting to induce the purchase or sale) in a security-based swap (SBS). The rule takes into consideration the basic features of an SBS and the broad definitions of “purchase” and “sale” under the Exchange Act as they relate to SBSs. Continue reading "SEC Approves Rules to Prevent Fraud Related to..." »
Posted by
LeAnn Dey
in SEC at 17:59

SEC Announces Form N-CEN Data Sets Available for Download

On June 2nd, the SEC announced that Form N-CEN Data Sets are now available for download. Form N-CEN is used by all registered investment companies to file annual reports with the SEC, with the exception of face-amount certificate companies. The Form N-CEN Data Sets are extracted from the eXtensible Markup Language (XML) Form N-CEN submissions. The data is displayed without change from the “as-filed” submissions and in a flattened format to provide readily available data from registrants. Continue reading "SEC Announces Form N-CEN Data Sets Available..." »
Posted by
LeAnn Dey
in DERA, SEC at 13:39
(Page 1 of 1, totaling 2 entries)