With
John Adams,
Jay Baris,
John Finley, III,
Laura Friedrich,
Nathan Greene,
Thomas Majewski,
Sean Murphy,
Ted Randolph,
Paul Schreiber,
Lorna Xin Chen
On June 5, 2019, the Securities and Exchange Commission (the "SEC") released a long-anticipated interpretation of investment adviser fiduciary duty under Section 206 of the US Investment
With
Jay Baris,
John Finley, III,
Laura Friedrich,
Nathan Greene,
Thomas Majewski,
J.R. Morgan,
Ted Randolph,
John Reiss,
Paul Schreiber
In what will be a welcome reprieve, the Securities and Exchange Commission eased compliance burdens for most mutual funds, ETFs and closed-end funds to file portfolio holdings reports on Form N-PORT.
With
Jay Baris,
John Finley, III,
Laura Friedrich,
Nathan Greene,
Thomas Majewski,
J.R. Morgan,
Ted Randolph,
John Reiss,
Paul Schreiber
The Securities and Exchange Commission (the SEC) has proposed rules that would modernize the "fund of funds" rules. The rules would replace a patchwork of exemptive rules and orders,
A lot has been written about the decision of the U.S. Securities and Exchange Commission to deny the application of Bats BZX Exchange Inc. ...
With
Jay Baris,
Nathan Greene,
Matthew Kutner,
Thomas Majewski,
Paul Schreiber
The SEC's Division of Investment Management has issued a no-action letter confirming that the Division's Staff would not object if fund boards cease to make quarterly independent compliance findings
With
Richard Alsop,
Russell Sacks
Partners Russell Sacks (New York-Financial Institutions Advisory & Financial Regulatory) and Richard Alsop (New York-Capital Markets) and Of Counsel Andrew ("Buddy")Donohue (New York-Investment Funds)
With
Jay Baris,
Nathan Greene,
Matthew Kutner,
Thomas Majewski,
Paul Schreiber
The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...
With
Jay Baris,
Nathan Greene,
Matthew Kutner,
Thomas Majewski,
Paul Schreiber
In a split vote on June 28, 2018, the Securities and Exchange Commission adopted a new rule to require certain open-end investment companies to disclose in their annual or semi-annual shareholder
With
Jay Baris,
Nathan Greene,
Jeremy Kutner,
Thomas Majewski,
Paul Schreiber
On June 5, 2018, the Securities and Exchange Commission adopted new rule 30e-3, which allows registered investment companies to satisfy their obligations to deliver shareholder reports beginning in 2021...
With
Jay Baris,
Christina Berlin,
Bjorn Bjerke,
Timothy Byrne,
Geoffrey Goldman,
Nathan Greene,
Jennifer Konko,
Lona Nallengara,
Donna Parisi,
Bradley Sabel,
Reena Agrawal Sahni
Earlier this week, the Federal Reserve Board and other federal regulatory agencies responsible for implementing the Volcker Rule agreed to seek public comment on proposed changes to the regulations...
With
Jay Baris,
Stuart Fleischmann,
Nathan Greene,
Merritt S. Johnson,
P. Sean Kelly,
Jennifer D. Morton,
Ilir Mujalovic,
Lona Nallengara,
Russell Sacks
May 11, 2018 marked the compliance date for the Customer Due Diligence Requirements for Financial Institutions rule[1] issued by the U.S. Treasury Department's Financial Crimes Enforcement Network ...
With
Jay Baris,
Nathan Greene,
Lona Nallengara,
Joshua Thompson
Business development companies won greater flexibility to leverage their loans to small and midsize businesses when President Trump signed the $1.3 trillion government spending bill on March 22, 2018.
With
Jay Baris,
Nathan Greene,
Jeremy Kutner,
Thomas Majewski,
Paul Schreiber
In October 2016, a unanimous Securities and Exchange Commission adopted a package of rules for Investment Company Liquidity Risk Management Programs and set a deadline for implementation of December 2018.
With
Jay Baris,
Bjorn Bjerke,
Nathan Greene,
Thomas Majewski,
Michael Pettingill,
John Reiss,
Paul Schreiber,
Lorna Xin Chen
In a no-action letter dated February 12, 2018, the SEC expanded the scope of Section 3(c)(5)(C) of the Investment Company Act to apply to a sponsor of multiple securities trusts that hold whole mortgage loans.
With
Jay Baris,
John Finley, III,
Laura Friedrich,
Nathan Greene,
Jeremy Kutner,
Lona Nallengara,
Paul Schreiber
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations' long-awaited examination priorities for 2018 will focus on five principal areas...
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