SEC Rules and Regulations
SEC Grants No-Action Relief to Permit Fund to Implement Sub-advisory Arrangement Prior to Shareholder Approval
Industry Update
IM Director Discusses Rece...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
IM Guidance Update Clarifies Advisory Fee Rate Requirement for Multi-Manager Funds
IM Guidance Update A...
SEC Rules and Regulations
SEC Issues Guidance on Rule 506(c) Exemption
SEC Issues No-Action Guidance Regarding Definition of “Knowledgeable Employee” Under the Investment Company ...
SEC Rules and Regulations
Regulators Adopt Final Regulations Implementing the Volcker Rule
SEC Releases Rule 506 “Bad Actor” Guidance
IM Guidance Update Cautions Against Use of F...
On December 4, 2013, the Division of Corporate Finance of the Securities and Exchange Commission (the “SEC”) issued Compliance and Disclosure Interpretations (“C&DIs”) regarding t...
SEC Rules and Regulations
IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Across Funds to Satisfy Qualified Client Standard
SEC Extends No-Acti...
SEC Rules and Regulations
SEC Focused on Violations of Rule 105 of Regulation M
IM Director Discusses Current Priorities Regarding Hedge Fund Managers
SEC Staff Provides Guidance to ...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC, FINRA and CFTC Release Joint Observations Regarding Business Continuity Plans
SEC Staff Expands Relief fo...
SEC Rules and Regulations
SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...
