Author: Ronald Minsky The Securities Compliance Team

June 10, 2024

Navigating the New Compliance Landscape: Understanding Rule 14Ad-1 and Form N-PX Filing

New Rule 14Ad-1 takes effect on July 1, 2024, with filing of Form N-PX due on August 31, 2024, for votes during the July 1, 2023 to June 30, 2024 reporting period. The Rule requires all institutional investment managers that are 13F filers to report say-on-pay votes on the new …

April 23, 2024

DOL Publishes Final QPAM Exemption Amendment

On April 3, 2024, the U.S. Department of Labor (DOL) published a final amendment to Prohibited Transaction Class Exemption 84-14. The amendment will become effective June 17, 2024. Registered investment advisers that manage accounts that are considered “plan assets” under the Employee Retirement Income Security Act of 1974 (ERISA) and …

April 16, 2024

Five Investment Advisers Charged by SEC for Marketing Rule Violations

On April 12, 2024, the Securities and Exchange Commission announced settled charges against five registered investment advisers for violations of the Marketing Rule. The firms have agreed to settle and pay a combined $200,000 in penalties, as well as cease and desist from violating the charged provisions, and to implement …

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