News & Analysis as of

Securities Exchange Act › Administrative Procedure Act › Investment Management

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Ropes & Gray LLP

Ropes & Gray’s Investment Management Update July – August 2025

Ropes & Gray LLP on

The following summarizes recent legal developments of note affecting the investment management industry: On August 25, 2025, the U.S. Court of Appeals for the Fifth Circuit issued its decision regarding a challenge by...more

Carlton Fields

Market Pushes Back on SEC Short Sale Reporting Rule

Carlton Fields on

On October 13, the SEC adopted a new Securities Exchange Act rule that will require ‘‘institutional investment managers,’’ such as insurance companies, banks, brokers and dealers, investment advisers, and pension funds, that...more

Katten Muchin Rosenman LLP

SEC Warns Advisers to Up Their Game on Proxy Voting

Katten Muchin Rosenman LLP on

On August 21, a sharply divided Securities and Exchange Commission (SEC) issued two interpretive releases addressing the proxy voting obligations of investment advisers and the obligations of proxy advisory firms....more

3 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide