Industry Update
IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure
IM Information Update Sets Out Framework for Requesting Tax Claims Letters
D...
Industry Upate
Financial CHOICE ACT Proposes to Exempt Private Equity Fund Advisers from Registration and Reporting Requirements of Advisers Act
SEC Subpoena Serves as a Reminder to Full...
SEC Rules and Regulations
Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule
Industry Update
SEC Division of Investme...
SEC Rules and Regulations
SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment Company Act Do Not Apply to a Broker for Clean Shares
SEC Issues...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell Investment Management, LLC to Utilize Affiliate Broker-Dealer to ...
Industry Update
OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference
SEC Announces Enforcement Results for FY 2016
SEC Releases Statistics ...
SEC Rules and Regulations
SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs
SEC Adopts Rules to Modernize Information Reported by Investment Comp...
SEC Rules and Regulations
SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules
SEC Adopts Amendments to Form ADV and Advisers Act Rules
Litigat...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...
