Rules and Regulations
CFTC Adopts a Final Rule Limiting Commodity Pool Operator Registration Exemption
Final Volcker Rule 2.1 – Covered Funds
Industry Update
OCIE Issues Risk Alert o...
COVID-19 Update
SEC Forms Cross-Divisional COVID-19 Market Monitoring Group
Rules and Regulations
SEC Proposes to Modernize Framework for Registered Fund Valuation Practices
Industry ...
COVID-19 Update
SEC Forms Cross-Divisional COVID-19 Market Monitoring Group
Industry Update
Commissioner Elad L. Roisman Delivers Remarks Before the Council of Institutional Investo...
COVID-19 Update
SEC Division of Investment Management Coronavirus (COVID-19) Response FAQs
SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investment...
COVID-19 Update
SEC Division of Investment Management Coronavirus (COVID-19) Response FAQs
SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investm...
COVID-19 Update
SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak
SEC Provides Temporary Additional Flexibility for Registered ...
COVID-19 Update
SEC Issues Targeted Regulatory Relief for Advisers and Registered Funds Affected by the Coronavirus Outbreak
CFTC and NFA Provide Temporary Regulatory Relief to Commodity...
Rules and Regulations
Proposed Amendments to the Volcker Rule
SEC Issues Order Granting Exemptive Relief for Multi-Manager Fund Board Approval of Sub-Advisory Agreements Without In-Pe...
Rules and Regulations
Proposed Amendments to the Volcker Rule
Industry Update
SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resi...
Rules and Regulations
SEC Proposes to Expand Access to Private Offerings
SEC Proposes Rule Changes for Auditor Independence Requirements
Industry Update
SEC’s National Examination Pr...
