The Securities and Exchange Commission (SEC) recently issued an order (Order) permitting registered open-end funds (other than money market funds) (Open-End Funds) and insurance company separate accounts registered as unit...more
The staff of the Division of Investment Management (the “Division”) of the Securities and Exchange Commission (SEC) issued a statement on April 14, 2020, reminding investment companies of their regulatory obligations to...more
On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more
11/21/2019
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On September 9, 2019, the Staff (“Staff”) of the Securities and Exchange Commission (“SEC”) Division of Investment Management provided guidance (the “Guidance”) on how to improve principal fund risk disclosures to be more...more