What are Rule 6500 Series and SLATE? In the Notice and Partial Amendment No.1, FINRA stated that it proposed to adopt the new rule to establish reporting requirements for covered securities loans. SLATE will also provide for the dissemination of individual and aggregate covered...
Read moreThe SEC has recently adopted Rule 13f-2, a measure aimed at improving transparency in the equity markets by focusing on short-selling activities. The rule, set to take effect in early 2025, requires investment managers to report detailed data on their short positions and activities each month through the newly introduced Form SHO. In this blog, we delve into what Rule 13f-2 entails and its implications for investment managers and technology.
Read moreIn the wake of amendments to Form PF introduced by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), and set to take effect on March 12, 2025, private funds—especially hedge funds—are at the threshold of adapting to a revamped regulatory environment.
Read moreAs part of our ongoing Emerging Regulations Watch series, we delve into the Securities and Exchange Commission's (SEC) recent amendments to Form PF. These amendments mark a pivotal moment in private fund reporting, aiming to bolster regulatory oversight and systemic risk monitoring. Keep reading as we dissect the implications of these changes for private funds and advisers, providing insights to help you navigate them.
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