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...
The SBA has issued a long-awaited Procedural Notice providing guidance on the procedures for changes of ownership of an entity that has received Paycheck Protection Program funds.This mem...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures
Industry Update
OCIE Publishes Ris...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
Industry Update
OCIE Publishes Risk Alert on Select COVID-19 Compliance Risks and Considerations for Broker-Deal...
Rules and Regulations
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers
SEC Adopts Amendments to Exemptive Application Procedures
Industry Update
SE...
Rules and Regulations
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers
Industry Update
SEC Issues Supplemental Guidance Concerning Proxy Voting Responsi...
On July 22, 2020, the SEC issued a release with guidance that supplements its prior guidance regarding the proxy voting responsibilities of investment advisers under the Advisers Act. The...
COVID-19 Update
SEC Extends Relief for Virtual Meetings of Registered Fund Boards
Rules and Regulations
SEC’s Division of Investment Management Delivers No-Action Letter to Investmen...
