On November 4, the SEC proposed amendments to modernize the advertising and cash solicitation rules applicable to investment advisers under the Investment Advisers Act of 1940, which have...
In a November 25, 2019 release, the SEC proposed a substantially revised version of proposed new Rule 18f-4 under the Investment Company Act of 1940, which was originally proposed on Dece...
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
...
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
...
On November 4, the SEC proposed amendments to modernize the advertising and cash solicitation rules applicable to investment advisers under the Investment Advisers Act of 1940, which have...
Rules and Regulations
SEC Adopts Rule to Modernize ETF Regulation
SEC Staff Releases Accounting and Disclosure Information Regarding Performance and Fee Issues
SEC Investment Manage...
Rules and Regulations
SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Litigation
SEC Settles wit...
On September 26, 2019, the Securities and Exchange Commission (“SEC”) announced that it had unanimously adopted rule 6c-11 under the Investment Company Act of 1940, as amended and rel...
