The power and influence of proxy advisory firms in affecting the outcome of shareholder meetings have been hotly debated in recent years, with many seeking a regulatory solution. Yesterd...
SEC Rules and Regulations
SEC Grants No-Action Relief to Closed-End Funds for Filing Post-Effective Amendments to Registration Statements
Industry Update
Director of OCIE Di...
SEC Rules and Regulations
SEC Reopens Commenting Period on Target Date Funds
SEC Grants No-Action Relief to 403(b) Plans Investing as Qualified Purchasers
Industry Update
SEC Iss...
SEC Rules and Regulations
SEC Grants No-Action Relief to Permit Fund to Implement Sub-advisory Arrangement Prior to Shareholder Approval
Industry Update
IM Director Discusses Rece...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
IM Guidance Update Clarifies Advisory Fee Rate Requirement for Multi-Manager Funds
IM Guidance Update A...
SEC Rules and Regulations
SEC Issues Guidance on Rule 506(c) Exemption
SEC Issues No-Action Guidance Regarding Definition of “Knowledgeable Employee” Under the Investment Company ...
SEC Rules and Regulations
Regulators Adopt Final Regulations Implementing the Volcker Rule
SEC Releases Rule 506 “Bad Actor” Guidance
IM Guidance Update Cautions Against Use of F...
On December 4, 2013, the Division of Corporate Finance of the Securities and Exchange Commission (the “SEC”) issued Compliance and Disclosure Interpretations (“C&DIs”) regarding t...
SEC Rules and Regulations
IM Guidance Update Clarifies Stance on Aggregating the Investments of Certain Investors Across Funds to Satisfy Qualified Client Standard
SEC Extends No-Acti...
