James H.R. Windels

COVID-19 Update SEC Division of Investment Management Coronavirus (COVID-19) Response FAQs SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investm...

COVID-19 Update SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak SEC Provides Temporary Additional Flexibility for Registered ...

COVID-19 Update SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak CFTC and NFA Provide Temporary Regulatory Relief to Commodity...

Rules and Regulations Proposed Amendments to the Volcker Rule SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Pe...

Rules and Regulations Proposed Amendments to the Volcker Rule Industry Update SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resi...

Rules and Regulations SEC Proposes to Expand Access to Private Offerings SEC Proposes Rule Changes for Auditor Independence Requirements Industry Update SEC’s National Examination Pr...

Rules and Regulations SEC Proposes to Expand Access to Private Offerings SEC Proposes Rule Changes for Auditor Independence Requirements Industry Update SEC’s National Examinati...

Rules and Regulations SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules SEC Proposes to Modernize Regulation of Derivatives Use by Registered Funds SE...

Rules and Regulations SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules SEC Issues FAQs for Form CRS CFTC Adopts Amendments to Commodity Pool Operator...

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 ...