Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights June 21, 2019 Client Update Visual Memorandum: SEC Adopts Regulation Best Interest, Form CRS and Related Advisers Act Interpretations The SEC adopted its long-awaited Regulation Best Interest, establishing new standard of conduct regulations for SEC-regist... June 19, 2019 Client Update Investment Management Regulatory Update - June 2019 Rules and Regulations SEC Grants Exemptive Relief for Non-Transparent Active ETFs SEC Adopts Regulation Best Interest,... May 29, 2019 Client Update Investment Management Regulatory Update - May 2019 Rules and Regulations SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Advi... May 2, 2019 Client Update Federal Reserve’s Proposed Rule on Controlling Influence: A Step in the Right Direction The Federal Reserve has requested comment on a highly anticipated notice of proposed rulemaking to amend its regulatory fr... April 30, 2019 Client Update Investment Management Regulatory Update - April 2019 Rules and Regulations SEC Issues Notice of Intent to Grant Exemptive Relief for Non-Transparent Active ETFs ADI 2019-07 ?... April 16, 2019 Articles & Books The Current State of U.S. Public Cryptocurrency Funds One of the many plotlines shaping the emerging cryptocurrency story for 2019 involves the repeated attempts by fund spon... March 29, 2019 Client Update Investment Management Regulatory Update - March 2019 Rules and Regulations SEC Staff Grants No-Action Relief, Increasing Flexibility for Certain In-Person Director Voting Re... February 28, 2019 Client Update Investment Management Regulatory Update - February 2019 Rules and Regulations SEC Proposes Expansion of “Testing the Waters” Provisions Industry Update Commissioner Hes... February 20, 2019 Client Update SEC Proposes Expansion of "Testing the Waters" Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provis... January 24, 2019 Client Update Investment Management Regulatory Update - January 2019 Rules and Regulations SEC Proposes Significant Changes to Rules for Funds of Funds SEC Staff Grants No-Action Relief t... Load More
June 21, 2019 Client Update Visual Memorandum: SEC Adopts Regulation Best Interest, Form CRS and Related Advisers Act Interpretations The SEC adopted its long-awaited Regulation Best Interest, establishing new standard of conduct regulations for SEC-regist...
June 19, 2019 Client Update Investment Management Regulatory Update - June 2019 Rules and Regulations SEC Grants Exemptive Relief for Non-Transparent Active ETFs SEC Adopts Regulation Best Interest,...
May 29, 2019 Client Update Investment Management Regulatory Update - May 2019 Rules and Regulations SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Advi...
May 2, 2019 Client Update Federal Reserve’s Proposed Rule on Controlling Influence: A Step in the Right Direction The Federal Reserve has requested comment on a highly anticipated notice of proposed rulemaking to amend its regulatory fr...
April 30, 2019 Client Update Investment Management Regulatory Update - April 2019 Rules and Regulations SEC Issues Notice of Intent to Grant Exemptive Relief for Non-Transparent Active ETFs ADI 2019-07 ?...
April 16, 2019 Articles & Books The Current State of U.S. Public Cryptocurrency Funds One of the many plotlines shaping the emerging cryptocurrency story for 2019 involves the repeated attempts by fund spon...
March 29, 2019 Client Update Investment Management Regulatory Update - March 2019 Rules and Regulations SEC Staff Grants No-Action Relief, Increasing Flexibility for Certain In-Person Director Voting Re...
February 28, 2019 Client Update Investment Management Regulatory Update - February 2019 Rules and Regulations SEC Proposes Expansion of “Testing the Waters” Provisions Industry Update Commissioner Hes...
February 20, 2019 Client Update SEC Proposes Expansion of "Testing the Waters" Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provis...
January 24, 2019 Client Update Investment Management Regulatory Update - January 2019 Rules and Regulations SEC Proposes Significant Changes to Rules for Funds of Funds SEC Staff Grants No-Action Relief t...