Robert Sawyer - Profile and Journalist Details
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Verified
Publisher and Editor-in-Chief, Architectural Business Magazine
Beats
San Francisco Bay Area
Science stories
Content
By Robert Sawyer, Jeffrey Collins Verified, Julia Dash| Mondaq@ Key Takeaways:The SEC adopted Rule 13f-2 and the corresponding Form SHO thatrequires institutional investment managers("Managers") to report certain short position andshort activity data for equity securities on a month-to-month basisif certain thresholds are met. The compliance date for Rule 13f-2 and the related Form SHO isJanuary 2, 2025. On October 13, 2023, the SEC adopted Rule 13f-2 and related FormSHO pursuant to the Securities Exchange Act of 1934 (the"Exchange Act").
By Adam Safwat, Aleksis Fernandez Caballero, Robert Sawyer| Mondaq@ On August 28, 2024, the U.S. Department of the Treasury's Financial Crimes Enforcement Network ("FinCEN") issued its final rule requiring certain investment advisers to implement anti-money laundering ("AML") compliance procedures, one of the more significant recent AML regulatory developments.1 FinCEN's final rule ("the new FinCEN Rule") will require some registered investment advisers ("RIAs") as well as exempt reporting advisers ("ERAs") to develop procedures that satisfy the requirements...
By Robert Sawyer, Jeffrey Collins Verified, Julia Dash| Mondaq@ Key Takeaways:The SEC adopted Rule 13f-2 and the corresponding Form SHO thatrequires institutional investment managers("Managers") to report certain short position andshort activity data for equity securities on a month-to-month basisif certain thresholds are met. The compliance date for Rule 13f-2 and the related Form SHO isJanuary 2, 2025. On October 13, 2023, the SEC adopted Rule 13f-2 and related FormSHO pursuant to the Securities Exchange Act of 1934 (the"Exchange Act").
Company Info
Architectural Business Magazine