Litigation
SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding Due Diligence, Valuation, and Conflicts of Interest
Rules and Regulations
Effective Date Set for Final Rule on Registered Fund Valuations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
SEC Staff Statement on ...
Rules and Regulations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
Industry Update
SEC Division of Examinations Releases Examination Priorities f...
Industry Update
SEC Issues No-Action Relief under Section 17(f) of Investment Company Act and
Rule 17f-2
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Al...
Industry Update
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Allison Herren Lee Issues Statements on Empowering Enforcement and Contingent Settlement Offe...
Rules and Regulations
IRS Finalizes Carried Interest Regulations
Industry Update
SEC Division of Examinations Statement on Recent and Upcoming Regulation Best Interest Examination...
Rules and Regulations
IRS Finalizes Carried Interest Regulations
Industry Update
SEC Division of Examinations Statement on Recent and Upcoming Regulation Best Interest Examinations
Rules and RegulationsSEC Modernizes Framework for Registered Fund Valuation PracticesSEC Adopts Modernized Marketing Rule for Investment AdvisersIndustry UpdateOCIE Issues Risk Alert on O...
COVID-19 Update
Rules and Regulations
SEC Adopts Modernized Marketing Rule for Investment Advisers
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of I...
Rules and Regulations
SEC Simplifies Private Offering Rules
Withdrawal of SEC Staff No-Action Letters Related to Rulemaking on Funds of Funds and ETFs
Industry Update
OCIE Issues Risk ...
