Statute
Regulation E
92 published works
Securities Law Prof Blog
SEC Amends Rules to Require Electronic Filing of Applications under Investment Company Act
The SEC adopted several amendments to its rules regarding the EDGAR system. As amended, the rules make mandatory the electronic submission on EDGAR of applications for orders under any section…
Securities Law Prof Blog
SEC proposes electronic Investment Co. Exemption Applications
In the "it's about time" department -- the SEC proposes that mutual funds and other companies seeking exemptions under the Investment Company Act of 1940 submit their applications electronically so…