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
  • SEC Staff Doubles Down on Howey for Digital Assets

Industry Update

  • OCIE Issues Risk Alert Regarding Investment Adviser and Broker-Dealer Compliance Issues Related to Regulation S-P
  • Director of Division of Investment Management Speaks at ICI Mutual Funds and Investment Management Conference


  • SEC Settles with Two Former Investment Advisers for Misappropriation of Investor Funds and Misrepresentation of Compensation
  • SEC Brings Enforcement Action Against Private Equity Fund and Founder for Defrauding Investors