Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Proposes Rules to Regulate Proxy Advisory Firms and Shareholder Proposals
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Rules and Regulations
SEC Adopts Rule to Modernize ETF Regulation
SEC Staff Releases Accounting and Disclosure Information Regarding Performance and Fee Issues
SEC Investment Manage...
Rules and Regulations
SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Litigation
SEC Settles wit...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Employee Securities Companies Exempt from Registration to Continue Operating without Registration Following a Transfer o...
Rules and Regulations
SEC Staff Grants No-Action Relief Extending Existing Exemptive Relief under Section 15(a) of the Investment Company Act to Affiliated Sub-Advisers
SEC Staff Grants ...
Rules and Regulations
SEC Adopts Amendments to the Auditor Independence Rules
Davis Polk Publishes Visual Memorandum Related to Regulation Best Interest and Related Interpretations
Indu...
Rules and Regulations
SEC Grants Exemptive Relief for Non-Transparent Active ETFs
SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Advi...
