Leor Landa

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...

Industry Update OCIE Announces Five Most Frequent Compliance Topics Identified during Examinations of Investment Advisers

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 ...

SEC Rules and Regulations SEC Adopts Sweeping Reforms to Enhance Liquidity Risk Management for Mutual Funds and ETFs SEC Adopts Rules to Modernize Information Reported by Investment Comp...

SEC Rules and Regulations SEC Issues Notices of Intent to Issue Orders for Approved FINRA and MSRB Pay-to-Play Rules SEC Adopts Amendments to Form ADV and Advisers Act Rules Litigat...

SEC Rules and Regulations SEC Staff Grants No-Action Relief under Section 12(d)(3) of the Investment Company Act to the AFL-CIO Housing Investment Trust to Organize and Acquire the Secur...

SEC Rules and Regulations SEC Issues Proposed Rule Regarding Adviser Business Continuity and Transition Plans Industry Update SEC Division of Investment Management Publishes Business C...

SEC Rules and Regulations SEC Issues Order Approving Higher Net Worth Threshold for Qualified Clients under the Advisers Act Industry Update Legal Implications of Brexit FinCEN’s Fi...