OVERVIEW OF THE ETF RULE -
- On September 25, 2019, the SEC approved Rule 6c-11 under the 1940 Act (the “ETF Rule”) and related amendments to Form N-1A
- The ETF Rule will rescind previously-issued exemptive orders of...more
LEGISLATIVE POLICY -
“In the exhaustive study of the industry which preceded passage of the [Investment Company] Act it was found that, in many instances, investment companies had been operated in the interests of their...more
On September 15, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) that announced its second round of cybersecurity...more
9/24/2015
/ Best Practices ,
Broker-Dealer ,
Compliance ,
Cybersecurity ,
Data Loss Prevention ,
Data Protection ,
Data Security ,
Financial Institutions ,
Financial Markets ,
Incident Response Plans ,
Investment Adviser ,
OCIE ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Securities Exchanges
On February 3, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) released a Risk Alert (the “2015 Risk Alert”) with summary observations from its recently...more
2/16/2015
/ Broker-Dealer ,
Compliance ,
Cyber Attacks ,
Cybersecurity ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Investment Adviser ,
OCIE ,
Popular ,
Risk Management ,
Securities and Exchange Commission (SEC)
On August 13, 2013, the Commodity Futures Trading Commission (“CFTC”) adopted long-awaited harmonization rules (“Harmonization Rules”) for operators of registered investment companies (“Registered Funds”) that are subject to...more