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...
Rules and Regulations
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers
SEC Adopts Amendments to Exemptive Application Procedures
Industry Update
SE...
Rules and Regulations
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers
Industry Update
SEC Issues Supplemental Guidance Concerning Proxy Voting Responsi...
On July 22, 2020, the SEC issued a release with guidance that supplements its prior guidance regarding the proxy voting responsibilities of investment advisers under the Advisers Act. The...
COVID-19 Update
SEC Extends Relief for Virtual Meetings of Registered Fund Boards
Rules and Regulations
SEC’s Division of Investment Management Delivers No-Action Letter to Investmen...
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...
On March 13, March 25 and June 19, the SEC issued exemptive orders providing temporary relief from certain filing and delivery obligations under the Investment Advisers Act and the Invest...
The U.S. Department of Labor has issued an information letter confirming its concurrence that the fiduciary rules under ERISA do not preclude 401(k) and other participant-directed retirem...
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 ...
