06.28.22
SEC Adopts New Electronic Filing Requirements for Institutional Investment Managers and Advisors
by: Wesley Bray
The U.S. Securities and Exchange Commission (SEC) has adopted amendments requiring investment advisors, institutional investment managers and other entities to file or submit certain documents electronically. The SEC claims that e-filings will be more readily accessible to the public and available on websites in easily searchable formats. “In a digital age, it is important for filers to have easy, online methods to submit information to the commission, and where appropriate for investors to have easy, online access as well,” said SEC Chair Gary Gensler. The ability to file electronically has also helped address logistical and operational issues raised by the pandemic.
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