SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules SEC Adopts Amendments to Form ADV and Advisers Act Rules Litigat...

SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...

SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry Update SEC Division of Investment Management Publishes Business C...

SEC Rules and Regulations SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act Industry Update Legal Implications of Brexit FinCEN’s Fi...

On April 8, 2016 the Department of Labor published controversial final rules significantly expanding the definition of a fiduciary with respect retirement plan accounts for the purposes o...

On May 6, 2016 the Securities and Exchange Commission (“SEC”) joined the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal D...

SEC Rules and Regulations SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...

Following is the Davis Polk visual memorandum reporting on the proposed rule jointly issued by four of the six Agencies implementing Dodd-Frank Act Section 956 regarding incentive compens...

SEC Rules and Regulations SEC Staff Grants No-Action Relief to Index-Linked ETF for Exceeding Ownership Percentage Limitations in Insurance Companies or Securities-Related Issuers under ...

SEC Rules and Regulations SEC Extends Comment Period on Proposed Rule and Concept Release on Transfer Agent Regulations SEC Staff Grants No-Action Relief Allowing Use of Rule 486(b) to F...