Rules and Regulations

  • SEC Proposes Amendments to Modernize the Advertising and Cash Solicitation Rules

  • SEC Proposes to Modernize Regulation of Derivatives Use by Registered Funds

  • SEC Issues FAQs for Form CRS

  • CFTC Adopts Amendments to Commodity Pool Operator and Commodity Trading Advisor Rules Regarding Exemptions for Family Offices, Harmonization with Certain JOBS Act Related Amendments and Non-U.S. Investors in De Minimis Exempt Pools

  • CFTC Adopts Amendments to Commodity Pool Operator and Commodity Trading Advisor Rules for RICs and BDCs, Along with the Definition of Reporting Persons

Industry Update

  • SEC Director Dalia Blass Delivers Keynote Address at 2019 ICI Securities Law Developments Conference

Litigation

  • SEC Settles Charges against Investment Adviser and CEO for Failure to Follow Client Instructions

  • SEC Settles Charges against Investment Adviser Regarding Allocation of Block Trading Cost

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