Rules and Regulations
Proposed Amendments to the Volcker Rule
Industry Update
SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resi...
Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examination Pr...
Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examinati...
The SEC Office of Compliance Inspections and Examinations (OCIE) recently published observations related to cybersecurity and operational resiliency practices observed in its examinations...
Our client memorandum discusses the key takeaways and main provisions of proposed new Rule 18f-4 under the Investment Company Act of 1940. According to the proposing release, proposed Ru...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Proposes to Modernize Regulation of Derivatives Use by Registered Funds
SE...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Issues FAQs for Form CRS
CFTC Adopts Amendments to Commodity Pool Operator...
On November 4, the SEC proposed amendments to modernize the advertising and cash solicitation rules applicable to investment advisers under the Investment Advisers Act of 1940, which have...
In a November 25, 2019 release, the SEC proposed a substantially revised version of proposed new Rule 18f-4 under the Investment Company Act of 1940, which was originally proposed on Dece...
Rules and Regulations
SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules
SEC Proposes Rules to Regulate Proxy Advisory Firms and Shareholder Proposals
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