Rules and Regulations

  • SEC Staff Grants No-Action Relief, Increasing Flexibility for Certain In-Person Director Voting Requirements

  • SEC Modifies Timing for Filing Non-Public Form N-PORT Data to Align with its Approach to Data Management and Cybersecurity

  • SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule

  • SEC Adopts Rules to Implement FAST Act Mandate to Modernize and Simplify Disclosure

  • SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds

Litigation

  • U.S. District Court Dismisses Excessive-Fee Lawsuit against BlackRock after Eight-Day Trial

  • SEC Settles Enforcement Action Against Investment Advisory and Broker-Dealer Firm for Conflict of Interest Violations

  • SEC Settles with Talimco, LLC for Breaching Fiduciary Duties in Standing on Both Sides of a Mortgage Loan Participation Transaction

  • SEC Announces More than $125 Million in Settlements Under the SEC’s 12b-1 Fee Self-Reporting Initiative

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.

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