SEC Rules and Regulations
SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act
SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...
Following is the Davis Polk visual memorandum reporting on the proposed rule jointly issued by four of the six Agencies implementing Dodd-Frank Act Section 956 regarding incentive compens...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief to Index-Linked ETF for Exceeding Ownership Percentage Limitations in Insurance Companies or Securities-Related Issuers under ...
SEC Rules and Regulations
SEC Extends Comment Period on Proposed Rule and Concept Release on Transfer Agent Regulations
SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to F...
SEC Rules and Regulations
SEC Staff Releases Additional FAQs related to Money Market Fund Reforms
Delaware Chancery Court Rules on Preferential Transfer of Partnership’s Facebook Sh...
SEC Rules and Regulations
SEC Staff Issues Report on Definition of “Accredited Investor”
SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to File Post-Effective Amendmen...
On December 11, 2015, the U.S. Securities and Exchange Commission proposed Rule 18f-4, which would impose new exposure limits, asset segregation requirements, and compliance obligations o...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief Relating to Rule 482 Requirements as Applied to Performance Information Provided by Certain Non-ERISA Retirement Plans
SEC Pro...
This morning, the Securities and Exchange Commission proposed new measures to govern the use of derivatives by registered investment companies and business development companies. This sum...
SEC Rules and Regulations
SEC Grants No-Action Relief to BlackRock Funds for Filing Post-Effective Amendments to Their Registration Statements
SEC Grants No-Action Relief Relating to Ban...
