Rules and Regulations
SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trus...
Industry Update
SEC’s National Examination Program Releases Examination Priorities for 2018
SEC Releases Diversity Assessment Tool for SEC Regulated Entities
Litigation
SEC Charges F...
Rules and Regulations
SEC Releases FAQs on Liquidity Risk Management Reforms
SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act
SEC Staff Permanently Extends...
Rules and Regulations
SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act
Industry Update
CFTC Releases Backgrounder on Oversight of and Approach to Virtual...
Rules and Regulations
CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions
Industry Update
SEC Announces Updates to Form N...
Rules and Regulations
CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions
Litigation
SEC Charges Investment Adviser and Prin...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
Please join us for an in-depth discussion of Office of Compliance Inspection and Examinations (OCIE) examinations and best practices for mitigating the risk associated with those examinat...
SEC Rules and Regulations
SEC Proposes Amendments to Investment Company Act and Advisers Act Rules to Require Hyperlinking of Certain Filings and Modernize Rules for Incorporation by Ref...
Industry Update
Treasury Department Publishes Recommendations on Regulation of Asset Management Industry
LabCFTC Releases Primer on Virtual Currencies
Litigation
SEC Charges Former Par...
