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The move toward stricter regulation of remuneration in the financial services industry in the European Union has resulted in a confusing web of overlapping European Directives and local E...
SEC Rules and Regulations
SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering Reforms Mandated by JOBS Act
SEC Grants No-Action Relief to Advis...
On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment Company Act of 1940 (the “Investment Company Act”) and relate...
The Alternative Investment Fund Managers Directive (the Directive) entered into force on July 21, 2011 with E.U. Member States (Member States) having until July 22, 2013 to implement it. ...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Requests Information to Inform Consideration of Uniform Fiduciary Standard for Broker-Dealers and Investmen...
On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trustees”) of two registered series trusts (the “Trusts”), the ...
On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...
SEC Rules and Regulations
CFTC and SEC Adopt Identity Theft Rules
SEC Staff Responds to Inquiries About Filing Requirements for Certain Electronic Communications
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody R...