SEC Rules and Regulations

  • SEC Extends Comment Period on Proposed Rule and Concept Release on Transfer Agent Regulations
  • SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to File Post-Effective Amendments to Closed-End Fund’s Registration Statement

Industry Update

  • SEC Division of Investment Management Issues Guidance on Disclosure by Registered Investment Companies Relating to Current Market Conditions
  • Interagency Volcker Rule Guidance on Capital Treatment of Banking Entity Investments in TruPS CDOs
  • SEC Director Grim Addresses PLI Investment Management Institute
  • SEC Chair White Addresses “SEC Speaks” Program

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