Gregory S. Rowland

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations Spending Bill Includes Reforms Impacting Business Development Companies SEC Proposes Enhanced Standards for Advice to Retail Investors Industry Update Dalia ...

Rules and Regulations SEC Proposes Amendments to Liquidity Disclosure Requirements SEC Staff Releases Updated FAQs on Liquidity Risk Management Reforms Industry Update SEC Announces Na...

Industry Update SEC Announces National Compliance Outreach Seminar for Investment Companies and Investment Advisers Litigation United States Pursues False Claims Act Suit Against Priva...

Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers who self-report potential violations concerning Rule 12b-1 fees....

Rules and Regulations SEC Grants No-Action Relief to Great Ajax Funding LLC Under Section 3(c)(5)(C) of the Investment Company Act to Permit Treatment of Interests in Securitization Trus...

Industry Update SEC’s National Examination Program Releases Examination Priorities for 2018 SEC Releases Diversity Assessment Tool for SEC Regulated Entities Litigation SEC Charges F...

Rules and Regulations SEC Releases FAQs on Liquidity Risk Management Reforms SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act SEC Staff Permanently Extends...

Rules and Regulations SEC Adopts Amendments to Advisers Act Rules to Reflect Changes Made by FAST Act Industry Update CFTC Releases Backgrounder on Oversight of and Approach to Virtual...

Rules and Regulations CFTC Proposes to Clarify the Treatment of Leveraged, Margined, or Financed Retail Virtual Currency Transactions Industry Update SEC Announces Updates to Form N...