An Overview of the SEC’s Recently Adopted Exchange-Traded Funds (ETF) Rule
According to a recent press release, a major U.S. bank has entered into a strategic partnership with the largest U.S. cryptocurrency exchange platform. This collaboration reportedly aims to expand access to secure digital...more
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE) recently announced its 2018 national examination priorities, which are broken down into five categories...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. ...more
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more
Each year, both the Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) issue guidance concerning their regulatory priorities for the coming year. This year, FINRA...more