Rules and Regulations
SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Adviser’s Fiduciary Duty and the “Solely Incidental” Prong o...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Adviser for a Period of Time Without a Majority Vote
Industry Update...
Industry Update
Chairman Jay Clayton Provides Remarks at the “SEC Speaks” Conference
Commissioner Peirce Speaks at SEC Speaks: SECret Garden
How We Protect Retail Investors: Director...
Rules and Regulations
SEC Issues Notice of Intent to Grant Exemptive Relief for Non-Transparent Active ETFs
ADI 2019-07 – Review of Certain Filings under Automatic Effectiveness Rules
...
Rules and Regulations
SEC Staff Doubles Down on Howey for Digital Assets
Industry Update
OCIE Issues Risk Alert Regarding Investment Adviser and Broker-Dealer Compliance Issues Related...
One of the many plotlines shaping the emerging cryptocurrency story for 2019 involves the repeated attempts by fund sponsors, over the last year or so, to bring cryptocurrency-related f...
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-POR...
Rules and Regulations
SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule
Litigation
SEC Settles Enforcement Action Against Investm...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
