Rules and Regulations
SEC Modernizes Framework for Registered Fund Valuation Practices
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Ale...
COVID-19 Update
Rules and Regulations
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of Investm...
Rules and Regulations
SEC Simplifies Private Offering Rules
Withdrawal of SEC Staff No-Action Letters Related to Rulemaking on Funds of Funds and ETFs
Industry Update
OCIE Issues Risk Ale...
Rules and Regulations
SEC Simplifies Private Offering Rules
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offices
...
Rules and Regulations
SEC Adopts Updated Regulatory Framework for Fund of Funds Arrangements
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Busi...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Litiga...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Litiga...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures
Industry Update
OCIE Publishes Risk A...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
Industry Update
OCIE Publishes Risk Alert on Select COVID-19 Compliance Risks and Considerations for Broker-Dealers...
Rules and Regulations
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers
SEC Adopts Amendments to Exemptive Application Procedures
Industry Update
SEC I...
