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...
Industry Update
IM Director Discusses Changing Regulatory Landscape for Hedge Fund Managers
CFTC Grants No-Action Relief for Certain CPOs of Pools with Wholly-Owned Trading Subsidiari...
SEC Rules and Regulations
SEC Adopts Final Rules to Reform Money Market Funds
Industry Update
SEC Director of Division of Investment Management Speaks on Industry Outreach and Rec...
SEC Rules and Regulations
SEC Grants No-Action Relief to Closed-End Funds for Filing Post-Effective Amendments to Registration Statements
Industry Update
Director of OCIE Di...
SEC Rules and Regulations
SEC Reopens Commenting Period on Target Date Funds
SEC Grants No-Action Relief to 403(b) Plans Investing as Qualified Purchasers
Industry Update
SEC Iss...
SEC Rules and Regulations
SEC Grants No-Action Relief to Permit Fund to Implement Sub-advisory Arrangement Prior to Shareholder Approval
Industry Update
IM Director Discusses Rece...
