James H.R. Windels

Rules and Regulations SEC Updates Its Custody Rule FAQs Industry Update Commissioner Hester M. Peirce Outlines Enforcement Philosophy, Criticizes “Broken Windows” Enforcement Liti...

The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...

Rules and Regulations SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships Industry Update SEC Enforcement Divisio...

Industry Update SEC Launches Investor Protection Search Tool Dalia Blass Remarks at the 2018 PLI Investment Management Institute Jay Clayton: The Evolving Market for Retail Investment Se...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...

Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers who self-report potential violations concerning Rule 12b-1 fees....

Please join us for an in-depth discussion of Office of Compliance Inspection and Examinations (OCIE) examinations and best practices for mitigating the risk associated with those examinat...