Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Wednesday, October 29, 2008

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 of the Investment Company Act of 1940 (“Investment Company Act”) as well as Regulation E filings of small business investment companies and business development companies. In addition, the electronic filing rules are amended to make the temporary hardship exemption unavailable for submission of applications under the Investment Company Act. Finally, Rule 0-2 under the Investment Company Ac is amended to eliminate the requirement that certain documents accompanying an application be notarized and the requirement that applicants submit a draft notice as an exhibit to an application.

http://lawprofessors.typepad.com/securities/2008/10/sec-amends-rule.html

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