Regulatory Alerts2018-12-13 | 2018-26613Added · Updated
Covered Investment Fund Research Reports
The Securities and Exchange Commission adopted new rules under the Securities Act and Investment Company Act to establish a safe harbor for unaffiliated broker-dealers publishing research reports on covered investment funds. This action implements the Fair Access to Investment Research Act of 2017 by extending existing safe harbor protections to these specific reports, deeming them not to constitute an offer for sale under the Securities Act. The Commission also adopted a conforming amendment to Regulation M and a technical amendment to Form 12b-25 to support these regulatory changes.
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