SEC Rules and Regulations 

  • SEC Issues Proposal to Eliminate General Solicitation Ban
  • SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV

Industry Update

  • CFTC Issues Guidance on CPO/CTA Registration and Compliance Obligations
  • Statement by SEC Chairman on Money Market Reform
  • SEC Announces its First Award under its Whistleblower Program
  • House Passes Bill Seeking to Tighten SEC and CFTC Cost-Benefit Analysis

Litigation

  • Second Circuit Relaxes Standard to Prove Aiding and Abetting Liability in SEC Enforcement Actions
  • SEC Announces Deferred Prosecution Agreement with Investment Fund

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.

Related materials

Read the full update
Copy link to share post