Notice
2 Jul 2025
sec, regulatory compliance, investment advisers, information disclosure, client relations
📄SEC Rule 204-3
The SEC has submitted a request for an extension of Rule 204-3, which mandates investment advisers to provide specific brochures and updates to clients at the start and annually during their advisory relationship. This rule aids clients in decision-making and assists the SEC in regulatory enforcement. Compliance with this rule represents a significant operational requirement for advisers.
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Notice
8 Apr 2025
information disclosure, publicly traded companies, compliance, regulation fd, securities and exchange commission
📄SEC Notice
The Securities and Exchange Commission (SEC) announces a request for extension of Regulation FD, which mandates public disclosure of material information by issuers of publicly traded securities. The notice details the estimated burden of compliance and invites public comments on the collection of information related to this regulation.
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