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
The IRS has issued final regulations on the taxation of carried interest under Section 1061 of the tax code, which was added in the 2017 tax law and provides that capital gain allocated u...
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...
In a December 22, 2020 release, the SEC adopted amendments to create a single rule that will replace the current advertising and cash solicitation rules under the Investment Advisers Act ...
Our client memorandum discusses the key takeaways and main provisions of new Rule 18f‑4 under the Investment Company Act, which was adopted by the SEC in a release dated November 2, 202...
