SEC Rules and Regulations
SEC Updates Staff Responses to Questions About Pay-to-Play Rule
SEC Grants No-Action Relief Permitting a Fund of Funds in the Same Group of Investment Companies...
SEC Rules and Regulations
BE-10 Report Filing Deadline for New Filers Extended to June 30, 2015
SEC Grants No-Action Relief from Section 12(d)(3) of the Investment Company Act, Allowing ...
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules, forms and amendments under both the Investment Company Act of 1940, as amended (the “Investment C...
SEC Rules and Regulations
SEC Proposes Rules to Modernize and Enhance Information Reported by Investment Companies and Investment Advisers
Industry Update
SEC Division of Investment Ma...
SEC Rules and Regulations
SEC Adopts Final Regulation A+ Rules
SEC Grants No-Action Relief From Section 206(4) to 16th Amendment Advisors LLC
SEC Grants No Action Relief from Sections 12...
SEC Rules and Regulations
SEC Extends Rule 482 No-Action Position to Certain Information Furnished to Participants and Beneficiaries in Certain Non-ERISA Retirement Savings Plans
Indust...
SEC Rules and Regulations
SEC Proposes Hedging Disclosure Rule
Industry Update
Electronic Blue Sky Notice Filings for Regulation D Offerings
Office of Compliance Inspections and Examin...
SEC Rules and Regulations
SEC Extends No-Action Relief to Three Derivatives Clearing Organizations Regarding Custody Rule
Industry Update
SEC’s National Examination Program Releases ...
SEC Rules and Regulations
SEC Issues Exemptive Relief for Non-Transparent ETMFs
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Chair Discusses Risk Monitoring ...
SEC Rules and Regulations
SEC Issues Preliminary Denial to Exemptive Relief Applications for Operation of Non-Transparent Active ETFs
Industry Update
CFTC Announces Self-Executing...
