In a December 3, 2020 release, the SEC adopted new Rule 2a-5 under the Investment Company Act of 1940, as amended. The rule establishes a new framework for good-faith determinations of t...
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 ...
Rules and Regulations
SEC Simplifies Private Offering Rules
Industry Update
OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offic...
In early October, the SEC adopted changes to “streamline and enhance the regulatory framework applicable to funds that invest in other funds” (otherwise known as “fund of funds” a...
Rules and Regulations
SEC Adopts Updated Regulatory Framework for Fund of Funds Arrangements
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Bus...
Rules and Regulations
SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Industry Update
Dalia Blass Keynote Address at the Investment Company I...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Expands Access to Private Offerings
Industry Update
OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise
Li...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures
Industry Update
OCIE Publishes Ris...
Rules and Regulations
SEC Modernizes the Accredited Investor Definition
Industry Update
OCIE Publishes Risk Alert on Select COVID-19 Compliance Risks and Considerations for Broker-Deal...
