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
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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...
Rules and Regulations
SEC Staff Grants No-Action Relief, Increasing Flexibility for Certain In-Person Director Voting Requirements
SEC Modifies Timing for Filing Non-Public Form N-POR...
Rules and Regulations
SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule
Litigation
SEC Settles Enforcement Action Against Investm...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
In late December, the SEC proposed changes it said would “streamline and enhance the regulatory framework applicable to funds that invest in other funds.” The proposal would rescind R...
Rules and Regulations
SEC Staff Releases Update to Investment Company Reporting Modernization FAQs
SEC Proposes Rule Changes for Fund of Funds Arrangements
Industry Update
Remarks...
