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On November 4, the SEC proposed amendments to modernize the advertising and cash solicitation rules applicable to investment advisers under the Investment Advisers Act of 1940, which have...
Rules and Regulations
SEC Adopts Rule to Modernize ETF Regulation
SEC Staff Releases Accounting and Disclosure Information Regarding Performance and Fee Issues
SEC Investment Manage...
Rules and Regulations
SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation
Litigation
SEC Settles wit...
On September 26, 2019, the Securities and Exchange Commission (“SEC”) announced that it had unanimously adopted rule 6c-11 under the Investment Company Act of 1940, as amended and rel...
On September 26, the SEC adopted a new rule to modernize the regulation of exchange-traded funds. The rule allows the vast majority of ETFs to come to market without having to first obtai...
On August 21, 2019, the SEC issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities (the “Guidance”) and an interpretation that proxy voting ad...
Rules and Regulations
SEC Staff Grants No-Action Relief Allowing Employee Securities Companies Exempt from Registration to Continue Operating without Registration Following a Transfer o...