Our lawyers produce a wealth of substantive, timely and practical guidance and resource materials. Subscribe to receive updates based on your interests.
Rules and Regulations
SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Litigation
SEC Settles wit...
On September 26, 2019, the Securities and Exchange Commission (“SEC”) announced that it had unanimously adopted rule 6c-11 under the Investment Company Act of 1940, as amended and rel...
On September 26, the SEC adopted a new rule to modernize the regulation of exchange-traded funds. The rule allows the vast majority of ETFs to come to market without having to first obtai...
On August 21, 2019, the SEC issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities (the “Guidance”) and an interpretation that proxy voting ad...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Employee Securities Companies Exempt from Registration to Continue Operating without Registration Following a Transfer o...
On August 21, 2019, the Securities and Exchange Commission approved two significant measures related to the increasingly large role of proxy advisory firms in the corporate voting process...
Rules and Regulations
SEC Staff Grants No-Action Relief Extending Existing Exemptive Relief under Section 15(a) of the Investment Company Act to Affiliated Sub-Advisers
SEC Staff Grants ...