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Seward & Kissel LLP

SEC Withdraws 14 Proposed Rules Impacting Investment Advisers, Investment Companies and Broker-Dealers

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June 18, 2025 On June 12, 2025, various divisions within the Securities and Exchange Commission (“SEC”) formally withdrew a number of pending proposed rules which would have affected investment advisers, investment companies,...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Foley & Lardner LLP

SEC Proposed Safeguarding Rule

Foley & Lardner LLP on

On February 15th 2023, the Securities and Exchange Commission (the “SEC”, or the “Commission”) proposed a new safeguarding rule. Comments must be received by the SEC on or before 60 days after the rule’s publication in the...more

Proskauer Rose LLP

SEC Proposes Cybersecurity Rule for Registered Funds and Investment Advisers

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Final comments were due last week to the Securities and Exchange Commission (SEC)’s proposed cybersecurity risk management rules for registered investment advisers, registered investment companies and business development...more

K&L Gates LLP

SEC Proposes Cybersecurity Risk Management Rules for Investment Advisers and Funds

K&L Gates LLP on

On 9 February 2022, the U.S. Securities and Exchange Commission (the SEC) proposed new rules and amendments to existing rules (together, the Proposed Rules) addressing cybersecurity risk management under the Investment...more

Sullivan & Worcester

SEC Proposes New Rules to Encourage Private Fund Transparency and Address Certain Conflicts of Interest

Sullivan & Worcester on

The U.S. Securities and Exchange Commission (the “SEC”) published on February 9, 2022 a release (the “Proposing Release”) in which it proposed new rules (collectively, the “Proposed Rules”) that would apply to investment...more

Lowenstein Sandler LLP

SEC Proposes New Rules and Amended Form PF Requirements for Private Fund Managers; Amended Annual Review Requirements and New...

Lowenstein Sandler LLP on

What You Need To Know: •The SEC has proposed new rules applicable to private fund managers, some of which apply broadly to private fund managers that are not registered with the agency. •The SEC has proposed to...more

Sullivan & Worcester

SEC Proposes New Cybersecurity Rule under the 1940 Act

Sullivan & Worcester on

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

Goodwin

SEC Cybersecurity Rules Target Investment Advisers and Investment Companies

Goodwin on

On February 9, 2022, the U.S. Securities and Exchange Commission (“SEC”) proposed a package of new rules and amendments to enhance cybersecurity preparedness and improve cyber resilience of investment advisers and investment...more

Vedder Price

SEC Re-Proposes New Rule Governing Funds’ Use of Derivatives

Vedder Price on

On November 25, 2019, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) re-proposed a new exemptive rule under the Investment Company Act of 1940, as amended (the “1940 Act”)—Rule 18f-4 (the...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring the Articles on LIBOR-Transition Relief and New CFTC Rules for DCOs, Swap Dealers

SEC/CORPORATE - SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” - On December 18, the Securities and Exchange Commission voted to propose amendments...more

Vedder Price

Investment Services Regulatory Update - August 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS – OCIE Publishes Risk Alert on Compliance Issues Relating to Best Execution – On July 11, 2018, the Office of Compliance Inspections and...more

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