Lee Hochbaum

Rules and Regulations SEC Proposes Whistleblower Rule Amendments Industry Update SEC Releases Strategic Plan for Fiscal Years 2018-2022 Litigation SEC Charges New York-based Investme...

In a June 28, 2018 release (the “Proposing Release”) the Securities and Exchange Commission (the “SEC”) proposed new Rule 6c-11 (the “Proposed Rule”) and form amendments to st...

Rules and Regulations SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure and Fees Related to Forwarding Fund Materials SEC Proposes FAIR A...

Rules and Regulations SEC Updates Its Custody Rule FAQs Industry Update Commissioner Hester M. Peirce Outlines Enforcement Philosophy, Criticizes “Broken Windows” Enforcement Liti...

Rules and Regulations SEC Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships Industry Update SEC Enforcement Divisio...

Industry Update SEC Launches Investor Protection Search Tool Dalia Blass Remarks at the 2018 PLI Investment Management Institute Jay Clayton: The Evolving Market for Retail Investment Se...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...