SEC Rules and Regulations

  • BE-10 Report Filing Deadline for New Filers Extended to June 30, 2015
  • SEC Grants No-Action Relief from Section 12(d)(3) of the Investment Company Act, Allowing Closed-End Fund to Start and Own a Subsidiary Investment Adviser
  • SEC Denies No-Action Request for Omission of Investment Company Shareholder Proposal

Industry Update

  • Acting Director of OCIE Recaps Private Equity Exams Since Dodd Frank and Discusses Future Exam Focus

Litigation

  • Nationwide Charged with Pricing Violations in Orders for Variable Insurance Contracts

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