SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC, FINRA and CFTC Release Joint Observations Regarding Business Continuity Plans
SEC Staff Expands Relief fo...
SEC Rules and Regulations
SEC Grants No-Action Relief to Allow Registered Investment Companies to Maintain Assets with CME to Meet Margin Requirements for Additional Swaps Cleared by C...
SEC Rules and Regulations
SEC Adopts Rules to Eliminate General Solicitation Ban and Proposes other Private Offering Reforms Mandated by JOBS Act
SEC Grants No-Action Relief to Advis...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Requests Information to Inform Consideration of Uniform Fiduciary Standard for Broker-Dealers and Investmen...
On May 2, 2013, the Securities and Exchange Commission (the “SEC”) settled charges that the five trustees (the “Trustees”) of two registered series trusts (the “Trusts”), the ...
SEC Rules and Regulations
CFTC and SEC Adopt Identity Theft Rules
SEC Staff Responds to Inquiries About Filing Requirements for Certain Electronic Communications
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
Industry Update
SEC Issues Risk Alert Identifying Significant Deficiencies in Compliance with the Custody R...
SEC Rules and Regulations
SEC Issues Guidance on New Iran Disclosure Requirements
SEC Extends No-Action Relief to Broker-Dealers Who Rely on Registered Investment Advisers to Perform...
SEC Rules and Regulations
SEC Lifts Moratorium on Approving Actively Managed ETFs That Invest in Derivatives
SEC Extends Temporary Rule 206(3)-3T Regarding Principal Transactions wit...
