On August 21, 2019, the Securities and Exchange Commission approved two significant measures related to the increasingly large role of proxy advisory firms in the corporate voting process...
Rules and Regulations
SEC Staff Grants No-Action Relief Extending Existing Exemptive Relief under Section 15(a) of the Investment Company Act to Affiliated Sub-Advisers
SEC Staff Grants ...
Rules and Regulations
SEC Adopts Amendments to the Auditor Independence Rules
Davis Polk Publishes Visual Memorandum Related to Regulation Best Interest and Related Interpretations
Indu...
Rules and Regulations
SEC Grants Exemptive Relief for Non-Transparent Active ETFs
SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Advi...
Rules and Regulations
SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Adviser’s Fiduciary Duty and the “Solely Incidental” Prong o...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Adviser for a Period of Time Without a Majority Vote
Industry Update...
Industry Update
Chairman Jay Clayton Provides Remarks at the “SEC Speaks” Conference
Commissioner Peirce Speaks at SEC Speaks: SECret Garden
How We Protect Retail Investors: Director...
Rules and Regulations
SEC Issues Notice of Intent to Grant Exemptive Relief for Non-Transparent Active ETFs
ADI 2019-07 – Review of Certain Filings under Automatic Effectiveness Rules
...
Rules and Regulations
SEC Staff Doubles Down on Howey for Digital Assets
Industry Update
OCIE Issues Risk Alert Regarding Investment Adviser and Broker-Dealer Compliance Issues Related...
