📊SEC Rule 17j-1
The Securities and Exchange Commission has submitted a request for extending Rule 17j-1, addressing conflicts of interest among investment company personnel. The rule mandates specific procedures, including the adoption of codes of ethics, reporting obligations, and oversight measures aimed at protecting fund investors from potential abuses.
Learn More📈SEC Rule 204A-1
The SEC is seeking an extension for the information collection associated with Rule 204A-1, which requires investment advisers to implement and maintain a code of ethics governing the conduct of their staff and personal securities transactions. This includes safeguards for nonpublic information and reporting standards for potential violations.
Learn More📊SEC Proposed Collection for Rule 17j-1
The SEC is seeking comments on the proposed extension of Rule 17j-1, which governs conflicts of interest for investment company personnel. This rule requires investment organizations to implement ethical codes, report personal securities transactions, and maintain records to enhance regulatory compliance and oversight among Access Persons.
Learn More⚖️2025 Adjustments to Civil Monetary Penalties for Government Ethics
In accordance with the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015, the U.S. Office of Government Ethics is issuing this final rule to make the 2025 annual adjustments to the Ethics in Government Act civil monetary penalties.
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