SEC Rules and Regulations
SEC Proposes Amendments to Investment Company Act and Advisers Act Rules to Require Hyperlinking of Certain Filings and Modernize Rules for Incorporation by Ref...
On October 26, 2017, the Division of Investment Management and the Division of Trading and Markets of the SEC issued three related no-action letters to address certain issues raised by cr...
Industry Update
SEC Announces Cybersecurity Enforcement Initiatives
SEC Chairman Issues Statement on Cybersecurity
ESG in Private Equity: What Every GP Needs to Know About Public Pension...
Industry Update
SEC Staff Issues Information Update on Compliance with Form ADV Amendments for Other-Than-Annual Amendments
SEC Grants No-Action Relief to Registered Closed-End Managemen...
Rules and Regulations
SEC Staff Releases FAQs on Investment Company Reporting Modernization Reforms
SEC’s Acting Director of OCIE Says Private Equity May Be Less of a Priority Ahead
SE...
Rules and Regulations
SEC Updates Form ADV Frequently Asked Questions
Interacting with Retirement Investors under the DOL Fiduciary Rule
Industry Update
Acting Director and Acting...
Rules and Regulations
SEC Adopts Technical Amendments to Form ADV and Form ADV-W to Reflect Enactment of a Wyoming State Law Regulating Investment Advisers
House Approves Revised Financi...
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed rules, forms and amendments under both the Investment Company Act of 1940, as amended (the “Investment C...
