In late December, the SEC proposed changes it said would “streamline and enhance the regulatory framework applicable to funds that invest in other funds.” The proposal would rescind R...
Rules and Regulations
SEC Staff Releases Update to Investment Company Reporting Modernization FAQs
SEC Proposes Rule Changes for Fund of Funds Arrangements
Industry Update
Remarks...
Rules and Regulations
SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts
Industry Update
Blass Remarks at the Independent Dire...
Rules and Regulations
SEC Staff Grants No-Action Relief to the Independent Directors Council Under Rules 10f-3, 17a-7 and 17e-1 Under the Investment Company Act of 1940
Industry Update
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Rules and Regulations
SEC Withdraws Two No-Action Letters Ahead of November Roundtable
Industry Update
Statement on Investor Roundtables Regarding Standards of Conduct for Investmen...
Rules and Regulations
SEC Rejects Proposed Rule Change for Bitcoin ETF
Industry Update
Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals
SEC Launches N...
Rules and Regulations
SEC Proposes New ETF Rule
SEC Adopts Inline XBRL for Tagged Data
SEC Adopts Amendments to the Liquidity Disclosure Rule
SEC Proposes Whistleblower Rule Amendments
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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 Proposes Rule Change to Address Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships
Industry Update
SEC Enforcement Divisio...
