Rules and Regulations
SEC Staff Doubles Down on Howey for Digital Assets
Industry Update
OCIE Issues Risk Alert Regarding Investment Adviser and Broker-Dealer Compliance Issues Related...
One of the many plotlines shaping the emerging cryptocurrency story for 2019 involves the repeated attempts by fund sponsors, over the last year or so, to bring cryptocurrency-related f...
Rules and Regulations
SEC Staff Grants No-Action Relief, Increasing Flexibility for Certain In-Person Director Voting Requirements
SEC Modifies Timing for Filing Non-Public Form N-POR...
Rules and Regulations
SEC Seeks Public Comment on Issues Posed by Non-DVP Settlement and Digital Assets under the Custody Rule
Litigation
SEC Settles Enforcement Action Against Investm...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provisions to all companies, including seasoned reporting companies, sm...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
In late December, the SEC proposed changes it said would “streamline and enhance the regulatory framework applicable to funds that invest in other funds.” The proposal would rescind R...
