Tag: SEC relief

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued

SEC Extends Form ADV & Form PF Relief, Modifies Conditions

On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the available relief for filing and delivering Form ADV amendments and for filing Form PF.  Under the new Order, which replaces the March 13 Order, the relief is extended to applicable filing and delivery obligations on … Continued

SEC Offers Additional Relief for Advisers Impacted by Coronavirus

The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory obligations. First, the SEC has issued relief in filing due dates and delivery requirements related to the Coronavirus (COVID-19) and the current market conditions. This will extend the reporting deadline 45 days for Forms ADV, … Continued


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