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As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulatory oversight. As the markets respond to these new regulations, t...
SEC Rules and Regulations
SEC Issues Guidance on New Iran Disclosure Requirements
SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform...
SEC Rules and Regulations
SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives
SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions wit...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Releases Guidance on Advisers Act Exemption for CFTC-Registered Investment Advisers that Advise Private Fun...
On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Directors”) of five Morgan Asset Management (“MAM”) registered in...
SEC Rules and Regulations
SEC Proposes Extension of Temporary Rule 206(3)-3T Regarding Principal Transactions with Certain Advisory Clients
Industry Update
SEC Announces Presence...
SEC Rules and Regulations
SEC Grants No-Action Relief to Exclude Tax Blocker from Definition of Investment Company
SEC Grants No-Action Relief from Surprise Examinations to Investmen...
SEC Rules and Regulations
SEC Issues Proposal to Eliminate General Solicitation Ban
SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV
Indu...
On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising and other forms of “general solicitation” in private offering...
On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued additional responses (the “Responses”) to frequently asked que...