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In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss proposed amendments to Form PF by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).
In this issue, we discuss, among other things, rule amendments that require electronic submission of Advisers Act exemptive order applications and Form 13F confidential treatment requests...
In this issue, we discuss, among other things, rule amendments that require electronic submission of Advisers Act exemptive order applications and Form 13F confidential treatment requests...
In this issue, we discuss, among other things, proposed amendments to the “Names Rule” under the Investment Company Act, and proposed disclosure requirements for investment advisers a...
In March 2022, the SEC proposed a sweeping set of rules relating to SPACs, SPAC IPOs and de-SPAC transactions that the SEC indicated would ensure “greater transparency and more robust i...
In this issue, we discuss, among other things, an SEC rule proposal relating to ESG disclosures and a recent enforcement action relating to alleged ESG disclosure failures.
In this issue, we discuss, among other things, an SEC rule proposal relating to ESG disclosures and a recent enforcement action relating to alleged ESG disclosure failures.
In this issue, we discuss, among other things, SEC exam priorities for registered investment advisers and recent enforcement actions involving private fund advisers.