In May 2014, the Director of the Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”) gave a speech to the Private Fund C...
Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
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Rules and Regulations
SEC Proposes Amendments to Advisers Act Rules to Reflect Changes Made by the FAST Act
House Financial Services Committee Approves Revised Financial CHOICE Act
Industry Update
IM Information Update Provides Guidance to Advisers Using a Participating Affiliate Structure
IM Information Update Sets Out Framework for Requesting Tax Claims Letters
D...
Industry Upate
Financial CHOICE ACT Proposes to Exempt Private Equity Fund Advisers from Registration and Reporting Requirements of Advisers Act
SEC Subpoena Serves as a Reminder to Full...
SEC Rules and Regulations
Division of Investment Management Grants No-Action Relief to the Investment Adviser Association under Custody Rule
Industry Update
SEC Division of Investme...
SEC Rules and Regulations
SEC Staff Provides Interpretative Guidance that Restrictions of Section 22(d) of the Investment Company Act Do Not Apply to a Broker for Clean Shares
SEC Issues...
SEC Rules and Regulations
SEC Staff Grants No-Action Relief under Section 17(e) of the Investment Company Act to Russell Investment Management, LLC to Utilize Affiliate Broker-Dealer to ...
Industry Update
OCIE Director Wyatt Addresses National Society of Compliance Professionals 2016 National Conference
SEC Announces Enforcement Results for FY 2016
SEC Releases Statistics ...
