News & Analysis as of August 27, 2025

Investment Funds

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

Recent SEC AML Enforcement Against Securities Firms Engaged in Cannabis Sector

Gordon Rees Scully Mansukhani on 5/22/2025

The evolving regulatory landscape for marijuana-related businesses poses unique compliance challenges for firms in the securities industry. The Financial Crimes Enforcement Network (“FinCEN”) continues to enforce its 2014...more

Investment Management Update - April 2023

Skadden, Arps, Slate, Meagher & Flom LLP on 4/14/2023

SEC Rules and Amendments - Liquidity Rule Amendments: Interval Funds to the Rescue? On November 2, 2022, the Securities and Exchange Commission (SEC) voted to propose significant amendments to Rule 22e-4 under the...more

SEC Proposes New Cybersecurity Risk Management Rules for Registered Investment Advisers and Funds

Faegre Drinker Biddle & Reath LLP on 2/16/2022

On Wednesday, the Securities and Exchange Commission announced proposed new cybersecurity risk management rules and amendments for investment advisers and investment companies. The proposed rules are designed to address...more

Investment Management, Trading & Markets Updates – November 2021

Alston & Bird on 11/11/2021

SEC Chair’s Senate Committee Testimony on SEC Initiatives On October 5, 2021, SEC Chair Gary Gensler provided testimony to the U.S. House of Representatives Committee on Financial Services. Several of the initiatives are of...more

The SEC's Modernized Marketing Rule for Investment Advisers

K&L Gates LLP on 1/20/2021

On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of...more

SEC Adopts New Regulatory Framework For Registered Fund Derivative Investments

Goodwin on 11/25/2020

On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more

Proskauer Launches Private Equity SEC Enforcement Database

Proskauer - The Capital Commitment on 7/23/2019

Today, we are launching a proprietary database tracking all SEC enforcement actions involving private equity advisers. The database contains key information from the actions, including summaries of key issues, settlement...more

OCIE Lessons From Cybersecurity 2 Initiative

Carlton Fields on 10/9/2017

On August 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert containing observations from its Cybersecurity 2 Exam Initiative. As a follow-up to the 2014 Cybersecurity 1 initiative, the...more

The ERISA Litigation Newsletter - August 2016

Proskauer Rose LLP on 9/1/2016

Editor's Overview - This month’s newsletter features an article on the DOL’s recently published interim final rule that increases penalties for notice and disclosure violations, which generally became effective on...more

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