The U.S. Court of Appeals for the Fifth Circuit (the “Fifth Circuit”) has thrown a wrench into the gears of the U.S. Securities and Exchange Commission (the “SEC”) in its attempt to regulate those investment advisers that...more
6/11/2024
/ Disclosure Requirements ,
Fiduciary Duty ,
Final Rules ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Transparency
The U.S. Securities and Exchange Commission (the “SEC”) last week adopted highly anticipated new rules and amendments (the “Adopted Rules”) to the Investment Advisers Act of 1940, as amended (the “Advisers Act”), that will...more
8/29/2023
/ Compliance ,
Final Rules ,
Fund Managers ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Investors ,
Private Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Transparency
On February 9, 2022, the Securities and Exchange Commission ("SEC") proposed new rule 38a-2 ("Proposed Rule 38a-2") under the Investment Company Act of 1940, as amended ("1940 Act"), which would require registered investment...more
2/14/2022
/ Comment Period ,
Cybersecurity ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
Popular ,
Proposed Rules ,
Public Comment ,
Registered Investment Companies (RICs) ,
Regulation S-ID ,
Regulation S-P ,
Securities and Exchange Commission (SEC)
On August 5, 2020, the Securities and Exchange Commission (“SEC”) proposed rule and form amendments that would modernize the disclosure framework for mutual funds and exchange-traded funds (“ETFs”) to create a new layered...more
On April 21, 2020, the Securities and Exchange Commission ("SEC") proposed new rule 2a-5 ("Proposed Rule") under the Investment Company Act of 1940, as amended ("1940 Act") addressing valuation practices and the board of...more
The U.S. Securities and Exchange Commission (the “SEC”) re-proposed on November 25, 2019 rules under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other things, use by investment companies of...more
12/9/2019
/ Business Development Companies ,
Closed-End Funds ,
Derivatives ,
ETFs ,
Form N-CEN ,
Form N-PORT ,
Investment Company Act of 1940 ,
Leveraged Finance ,
Open-Ended Fund Companies (OFCs) ,
Proposed Amendments ,
Proposed Rules ,
Public Comment ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transition Relief