Investment Management Regulatory Update
Client Newsletter

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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 with Certain Advisory Clients

Industry Update 

  • Annual Affirmation Requirement for Certain Exempt CPOs and CTAs
  • Bill to Merge SEC and CFTC Introduced in the House of Representatives


  • District Court Dismisses ICI and Chamber of Commerce Challenge to CFTC Amendments Affecting Registered Investment Companies
  • SEC Settles Charges Against a Business Development Company and Its Executives for Overvaluing Assets and for Internal Control Failures
  • SEC Settles Charges Against Investment Adviser for Misleading Use of Hypothetical Back-Tested Performance Models
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