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 ...
On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...
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...
As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulatory oversight. As the markets respond to these new regulations, t...
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...
SEC Rules and Regulations
SEC Staff Responds to Questions About Form PF
SEC Releases Guidance on Advisers Act Exemption for CFTC-Registered Investment Advisers that Advise Private Fun...
On December 10, 2012, the Securities and Exchange Commission (the “SEC”) charged eight former directors (the “Directors”) of five Morgan Asset Management (“MAM”) registered in...
