Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
In late December, the SEC proposed changes it said would “streamline and enhance the regulatory framework applicable to funds that invest in other funds.” The proposal would rescind R...
Rules and Regulations
SEC Staff Releases Update to Investment Company Reporting Modernization FAQs
SEC Proposes Rule Changes for Fund of Funds Arrangements
Industry Update
Remarks...
Rules and Regulations
SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts
Industry Update
Blass Remarks at the Independent Dire...
Rules and Regulations
SEC Staff Grants No-Action Relief to the Independent Directors Council Under Rules 10f-3, 17a-7 and 17e-1 Under the Investment Company Act of 1940
Industry Update
...
Rules and Regulations
SEC Withdraws Two No-Action Letters Ahead of November Roundtable
Industry Update
Statement on Investor Roundtables Regarding Standards of Conduct for Investmen...
Rules and Regulations
SEC Rejects Proposed Rule Change for Bitcoin ETF
Industry Update
Commissioner Hester M. Peirce Reacts to SEC Regulation of Investment Professionals
SEC Launches N...
Rules and Regulations
SEC Proposes New ETF Rule
SEC Adopts Inline XBRL for Tagged Data
SEC Adopts Amendments to the Liquidity Disclosure Rule
SEC Proposes Whistleblower Rule Amendments
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In a June 28, 2018 release (the “Proposing Release”) the Securities and Exchange Commission (the “SEC”) proposed new Rule 6c-11 (the “Proposed Rule”) and form amendments to st...
