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 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...

Rules and Regulations SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts Industry Update Blass Remarks at the Independent Dire...

Industry Update OCIE Issues Risk Alert Regarding Investment Advisers and Cash Solicitation Rule Compliance Issues Litigation SEC Halts ICO, Suspends Nevada Corporation’s Securities T...

Rules and Regulations SEC Staff Grants No-Action Relief to the Independent Directors Council Under Rules 10f-3, 17a-7 and 17e-1 Under the Investment Company Act of 1940 Industry Update ...

Industry Update Director of Division of Investment Management Testifies About Division Oversight Co-Director of SEC Enforcement Steven Peikin Gives Remarks on Remedies and Relief in SEC ...