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- Public Inspection
Topic
- Brokers 2
- Confidential business information 2
- Fraud 2
- Reporting and recordkeeping requirements 2
- Securities 2
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Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction
On December 16, 2019, the Securities and Exchange Commission revised Commission rules. That document inadvertently listed an incorrect subordinate paragraph in a cross-reference to a rule. This document corrects the final regulations.
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Securities Offering Reform for Closed-End Investment Companies
The Securities and Exchange Commission (the ``Commission'') is adopting rules that will modify the registration, communications, and offering processes for business development companies (``BDCs'') and other closed-end investment companies under the Securities Act of 1933. As directed by Congress, we are adopting rules that will allow these...