The U.S. Securities and Exchange Commission, SEC, has published in the Federal Register final rules and form amendments concerning the following Statutory Instruments:
17 CFR PART 200 – ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
17 CFR PART 229 – STANDARD INSTRUCTIONS FOR FILING FORMS – REGULATION S-K
17 CFR PART 249 – FORMS, SECURITIES EXCHANGE ACT OF 1934
17 CFR PART 270 – RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
17 CFR PART 274 – FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
17 CFR PART 275 – RULES AND REGULATIONS, INVESTMENT ADVISERS ACT OF 1940
The modifications are primarily technical in nature such as the correction of typographical errors or the update or elimination of outdated (non-relevant) cross-references. According to the SEC, some changes were also made to some form instructions for clarification, correction, and update purposes. The following Forms and Rules are thereby affected:
Overview of SEC rule amendments
Other Features
capital management companies
companies
financial advisors
fund management
investment firms
issuer
notifications
reporting
Date Published: 2023-06-12
Date Taking Effect: 2023-06-12
Regulatory Framework: Securities Act of 1933, Investment Company Act of 1940, Investment Advisers Act of 1940
Regulatory Type: regulation
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