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Investment Management › Enforcement Guidance

Carlton Fields

One Fell Swoop: SEC Erases Ambitious Gensler-Era Rulemaking Agenda

Carlton Fields on

On June 12, 2025, the Securities and Exchange Commission issued a release announcing that it was withdrawing 14 notices of proposed rulemaking issued between March 2022 and November 2023 and stating that it “does not intend...more

Cadwalader, Wickersham & Taft LLP

InDepth: CFTC’s Regulatory Priorities for 2023

Cadwalader, Wickersham & Taft LLP on

Much like taxes and mortality, it is certain that during 2023 the U.S. Commodity Futures Trading Commission (“CFTC”) will promulgate new rules, issue interpretation and guidance, issue no-action letters, engage in...more

Carlton Fields

Use of Non-Binding SEC Staff Guidance Called Into Question

Carlton Fields on

Recent moves by the SEC could signal a shift away from the use of non-binding guidance in the form of no-action letters or other types of compliance and interpretive information that the SEC staff frequently publishes....more

K&L Gates LLP

GIPS Guidance Statement on Broadly Distributed Pooled Funds and Potential Impacts

K&L Gates LLP on

The CFA Institute recently released its Exposure Draft of the Guidance Statement on Broadly Distributed Pooled Funds (the “Proposed Guidance”) intended for firms that claim compliance with the Global Investment Performance...more

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