Title

Investment Management Regulatory Update - February 2019
Client Newsletter

Created date

2/28/2019

Rules and Regulations

  • SEC Proposes Expansion of “Testing the Waters” Provisions

Industry Update

  • Commissioner Hester Peirce Provides Remarks at the University of Missouri School of Law

  • SEC Chairman Clayton Delivers Speech on SEC Rulemaking in 2018, the Road Ahead and Challenges Posed by Brexit, the LIBOR Transition and Cybersecurity Risks

Litigation

  • U.S. District Court of New Jersey Dismisses Excessive-Fee Lawsuit Against BlackRock