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Searching Content indexed under Listing Rules & Flotation by Ropes & Gray LLP ordered by Published Date Descending.
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Ropes & Gray's Investment Management Update: August – September 2017
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
12 Oct 2017
2
SEC Issues Guidance Regarding New General Solicitation Rules
On November 13, 2013, the Division of Corporation Finance of the Securities and Exchange Commission issued new Compliance and Disclosure Interpretations providing guidance regarding new rules allowing for general solicitation in private offerings.
United States
20 Nov 2013
3
SEC Releases Guidance With Respect To Privately Offered Securities And The Custody Rule
The Division of Investment Management of the U.S. Securities and Exchange Commission has recently released an IM Guidance Update with respect to the custody rule, Rule 206(4)-2 under the Investment Advisers Act of 1940, as amended.
United States
6 Aug 2013
4
SEC Proposes Reforms For Money Market Funds
The Securities and Exchange Commission voted unanimously to propose significant new reforms for money market funds primarily in response to the risk of runs on MMFs during times of economic stress.
United States
18 Jun 2013
5
The SEC Proposes Rules To Remove Prohibitions On General Solicitation And General Advertising In Certain Regulation D Offerings
The Jumpstart Our Business Startups Act enacted on April 5, 2012 (the "JOBS Act"), directed the SEC to amend Rule 506 of Regulation D.
United States
11 Sep 2012
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