August 2023

Compliance and Disclosure Interpretations

• Regulation AB and Related Rules (UPDATED 08/30/23)
  • Section 111. Form SF-3
    • New Question 111.01

• Exchange Act Forms (UPDATED 08/30/23)
  • Section 113. Form F-SR
    • New Question 113.01
    • New Question 113.02
    • New Question 113.03

• Exchange Act Rules (UPDATED 08/25/23)
  • Section 120. Manipulative and Deceptive Devices and Contrivances: Rule 10b5-1
    • New Question 120.29
    • New Question 120.30
    • New Question 120.31

• Exchange Act Section 16 and Related Rules and Forms (UPDATED 08/25/23)
  • Section 135. Form 4
    • New Question 135.04 [repeat of Exchange Act Rules Question 120.31]

• Regulation S-K (UPDATED 08/25/23)
  • Section 133A. Item 408 ― Insider Trading Arrangements and Policies
    • New Question 133A.01
    • New Question 133A.02