Industry Update
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Allison Herren Lee Issues Statements on Empowering Enforcement and Contingent Settlement Offe...
Rules and Regulations
IRS Finalizes Carried Interest Regulations
Industry Update
SEC Division of Examinations Statement on Recent and Upcoming Regulation Best Interest Examination...
Rules and Regulations
IRS Finalizes Carried Interest Regulations
Industry Update
SEC Division of Examinations Statement on Recent and Upcoming Regulation Best Interest Examinations
Rules and RegulationsSEC Modernizes Framework for Registered Fund Valuation PracticesSEC Adopts Modernized Marketing Rule for Investment AdvisersIndustry UpdateOCIE Issues Risk Alert on O...
COVID-19 Update
Rules and Regulations
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of I...
Rules and Regulations
SEC Simplifies Private Offering Rules
Withdrawal of SEC Staff No-Action Letters Related to Rulemaking on Funds of Funds and ETFs
Industry Update
OCIE Issues Risk ...
Rules and Regulations
SEC Simplifies Private Offering Rules
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offic...
Rules and Regulations
SEC Adopts Updated Regulatory Framework for Fund of Funds Arrangements
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Bus...
Rules and Regulations
SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Industry Update
Dalia Blass Keynote Address at the Investment Company I...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
