Rules and Regulations

• SEC Clarifies Investment Advisers' Proxy Voting Responsibilities

Industry Update

• Jay Clayton Speech – Regulation Best Interest and the Investment Adviser Fiduciary Duty: Two Strong Standards That Protect and Provide Choice for Main Street Investors
• SEC and NASAA Issue Summary Statement Regarding Federal and State Securities Laws Implications of Opportunity Zone Investments

Litigation

• SEC Sues REIT Sponsor and Executives Alleged to Have Wrongfully Obtained Millions in Charges and Partnership Units
• SEC Settles with Former Investment Adviser for Engaging in Unauthorized Security Allocations to Client Accounts