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Articles by Alena Prokop
Fourth Quarter 2025 Asset Management Regulatory Update
2026 SEC EXAMINATION PRIORITIES On November 17, 2025, the Securities and Exchange Commission's ("SEC" or the "Commission") Division of Examinations ("EXAMS" or the "Division") published its examination priorities for 2026.
Q4 2023 Asset Management Regulatory Update
On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities").
Asset Management Regulatory Update
On May 3, the Commissioners of the Securities Exchange Commission (the "SEC" or the "Commission") voted to adopt final amendments (the "Amendments") to Form PF and Rule 204(b)-1 the under the Investment Advisers Act of 1940 ("Advisers Act"). Form PF is the confidential reporting form used by certain advisers to private funds to report information to the SEC and the Financial Stability Oversight Counsel ("FSOC") about private funds.
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