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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Industry Update
Director of Division of Investment Management Testifies About Division Oversight
Co-Director of SEC Enforcement Steven Peikin Gives Remarks on Remedies and Relief in SEC ...
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...
Industry Update
SEC Chairman Gives Remarks on Capital Formation
Litigation
Regulators Step Up Enforcement on Crypto Firms
SEC Resolves FCPA Allegations Against U.S.-Based Investme...
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 Rejects Proposed Rule Change for Bitcoin ETF
Industry Update
Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals
Litigation
S...
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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Rules and Regulations
SEC Proposes Whistleblower Rule Amendments
Industry Update
SEC Releases Strategic Plan for Fiscal Years 2018-2022
Litigation
SEC Charges New York-based Investme...
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...
