SEC Rules and Regulations

  • SEC Adopts Large Trader Reporting Rule

Industry Update

  • SEC Issues No-Action Letter Regarding Compliance with the Independent Accountant Requirements Under the Custody Rule 
  • SEC Grants No-Action Relief from Advisers Act Registration to Wholly Owned Subsidiary that Solely Advises Foreign Funds in Which Parent is Sole Investor

Litigation

  • SEC Settles with Dually Registered Broker-Dealer and Investment Adviser over Inadequate Insider Trading Policies 
  • D.C. Circuit Vacates SEC Rule on Shareholder Access to Proxy Materials 
  • SEC Settles with Hedge Fund Manager over Short Sale Violations

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