Rules and Regulations
Updated FAQs on Modernized Registered Investment Company Reporting
SEC Staff Statement Regarding Termination of Exemptive Relief and Withdrawal of Staff Letters ...
Rules and Regulations
SEC Staff Statement on Withdrawal and Modification of Staff Letters Related to Rulemaking on Use of Derivatives and Certain Other Transactions by Registered Funds...
Litigation
SEC Settles with Investment Adviser Principals Responsible for Alleged Misstatements and Omissions Regarding Due Diligence, Valuation, and Conflicts of Interest
Following the White House statement on January 20, 2021 that effectively froze pending agency regulations, the amended marketing rule under the Advisers Act has now been published in the ...
Rules and Regulations
Effective Date Set for Final Rule on Registered Fund Valuations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
SEC Staff Statement on ...
Rules and Regulations
Effective Date Set for Modernized Marketing Rule for Investment Advisers
Industry Update
SEC Division of Examinations Releases Examination Priorities f...
Yesterday, the Securities and Exchange Commission announced a newly created Climate and ESG Task Force in the Division of Enforcement. The announcement is a reminder for public companies,...
Industry Update
SEC Issues No-Action Relief under Section 17(f) of Investment Company Act and
Rule 17f-2
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Al...
Industry Update
SEC Requests Comments on Potential Money Market Fund Reforms
Acting Chair Allison Herren Lee Issues Statements on Empowering Enforcement and Contingent Settlement Offe...
