Rules and Regulations

  • SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Funds and Business Development Companies

Industry Update

  • Acting SEC Chair Allison Herren Lee’s Speech on the Importance of Fund Voting and Disclosure

Litigation

  • SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding Due Diligence, Valuation, and Conflicts of Interest

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