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 ...

Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provisions to all companies, including seasoned reporting companies, sm...

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...

Industry Update Remarks from Commissioner Peirce before the Crypto Valley Summit SEC Chairman, Commissioners Deliver Remarks at Proxy Process Roundtable SEC Public Statement on Digi...

The SEC recently voted to adopt amendments to Rule 606 of Regulation NMS (the “Final Rule”) that expand broker-dealers’ disclosure obligations with regard to how they handle investo...