Tag: Regulations

Exposure of Proposed Sundry Amendments to the SEC Rules and Regulations

January 18, 2016/SEC Circular Exposure of Proposed Sundry Amendments to the SEC Rules and Regulations Below is a summary of the proposed amendments:  A. AMENDMENT TO RULE 51(1) – (REPORTS TO BE FILED BY CMOs) These amendments are proposed under Rule 51(1) to cover the area of e-filing and reporting […]