SEC Rules and Regulations

  • SEC Staff Grants No-Action Relief to Index-Linked ETF for Exceeding Ownership Percentage Limitations in Insurance Companies or Securities-Related Issuers under Sections 12(d)(2) and 12(d)(3) of the Investment Company Act

Industry Update

  • Department of Labor’s Final Rule Defining Fiduciary Investment Advice and Conflicts of Interest
  • SEC Division of Investment Management Issues Guidance on FAST Act Changes Affecting Investment Advisers to Small Business Investment Companies
  • Treasury Issues New Anti-Inversion Guidance
  • SEC Director Grim Addresses Investment Company Institute’s 2016 Mutual Funds and Investment Management Conference
  • SEC Announces Creation of Office of Risk and Strategy for Its National Exam Program

Litigation

  • SEC Charges AIG Affiliates with Mutual Fund Shares Conflicts
  • CFTC Charges Alternative Fund Manager with Various Disclosure Violations

If you have any questions regarding the matters covered in this publication, please reach out to any of the lawyers listed below or your usual Davis Polk contact.

This communication, which we believe may be of interest to our clients and friends of the firm, is for general information only. It is not a full analysis of the matters presented and should not be relied upon as legal advice. This may be considered attorney advertising in some jurisdictions. Please refer to the firm's privacy notice for further details.

Related materials

Read the full update
Copy link to share post