Investment Management Regulatory Update
Client Newsletter

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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 CME
  • SEC Extends Immediate Effectiveness of Post-Effective Amendments to Additional Closed End Funds

Industry Update

      • CFTC Adopts Final Guidance on Cross-Border Swaps and Compliance Schedule
      • SEC’s Division of Investment Management Answers Questions Concerning Form 13F


    • Department of Justice Indicts Hedge Fund Advisers and SEC Charges Advisers’ Founder
    • CFTC Brings First “Spoofing” Case Against High-Frequency Trading Firm
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