On December 11, 2015, the U.S. Securities and Exchange Commission proposed Rule 18f-4, which would impose new exposure limits, asset segregation requirements, and compliance obligations o...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief Relating to Rule 482 Requirements as Applied to Performance Information Provided by Certain Non-ERISA Retirement Plans
SEC Pro...
This morning, the Securities and Exchange Commission proposed new measures to govern the use of derivatives by registered investment companies and business development companies. This sum...
SEC Rules and Regulations
SEC Grants No-Action Relief to BlackRock Funds for Filing Post-Effective Amendments to Their Registration Statements
SEC Grants No-Action Relief Relating to Ban...
SEC Rules and Regulations
SEC Proposes Rule Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs
SEC Removes References to Credit Ratings in Money Market Fund Rule and ...
SEC Rules and Regulations
BEA Releases New Benchmark Survey for Financial Services Providers, Including Managers of Hedge, Private Equity and Other Private Funds and Separate Accounts
SE...
SEC Rules and Regulations
SEC Issues No Action Relief to Business Development Company Structured as Master-Feeder
Industry Update
Interagency Volcker Rule FAQ #16 Addresses Treatment o...
SEC Rules and Regulations
SEC Updates Staff Responses to Questions About Pay-to-Play Rule
SEC Grants No-Action Relief Permitting a Fund of Funds in the Same Group of Investment Companies...
SEC Rules and Regulations
BE-10 Report Filing Deadline for New Filers Extended to June 30, 2015
SEC Grants No-Action Relief from Section 12(d)(3) of the Investment Company Act, Allowing ...
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules, forms and amendments under both the Investment Company Act of 1940, as amended (the “Investment C...
