John G. Crowley

SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC Adopts Rules to Modernize Information Reported by Investment Comp...

SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules SEC Adopts Amendments to Form ADV and Advisers Act Rules Litigat...

SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...

SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry Update SEC Division of Investment Management Publishes Business C...

SEC Rules and Regulations SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act Industry Update Legal Implications of Brexit FinCEN’s Fi...

SEC Rules and Regulations SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...

SEC Rules and Regulations SEC Staff Grants No-Action Relief to Index-Linked ETF for Exceeding Ownership Percentage Limitations in Insurance Companies or Securities-Related Issuers under ...

SEC Rules and Regulations SEC Extends Comment Period on Proposed Rule and Concept Release on Transfer Agent Regulations SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to F...

SEC Rules and Regulations SEC Staff Releases Additional FAQs related to Money Market Fund Reforms Delaware Chancery Court Rules on Preferential Transfer of Partnership’s Facebook Sh...

SEC Rules and Regulations SEC Staff Issues Report on Definition of “Accredited Investor” SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to File Post-Effective Amendmen...