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...
In this chapter for Global Legal Insights - Blockchain & Cryptocurrency Regulation 2020, Davis Polk partner Gregory Rowland and associate Trevor Kiviat examine Bitcoin and countless oth...
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 September 26, the SEC announced a welcome, broad expansion of “testing the waters” flexibility for all companies. Under new Rule 163B, all companies, and persons authorized to act ...
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...
