Capital Market

SEC Proposes New Rules/Amendments on Fund/Portfolio Mngt, Capital Market Ops

Posted by InvestAdvocate on

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March 17/SEC

The following proposed new rule and amendments to the Commission’s rules and regulations are being exposed to stakeholders/general public for comments and input:

A.     Proposed rules on Fund/portfolio management operations

B.       Proposed amendments to various SEC rules on capital market operations;

1. Rule 19 (8) – Sponsored individuals/Compliance officers

2. Rule 22(4) – Minimum Paid –up capital

3. Rule 23 (4) – Amendment to application

 

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