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Searching Content indexed under Corporate and Company Law by Ropes & Gray LLP's Investment Management Practice Group ordered by Published Date Descending.
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2018 Proposed ETF Rulemaking
On June 28, 2018 at an open meeting, the SEC unanimously voted to propose new Rule 6c-11 under the Investment Company Act of 1940, as amended, which, if adopted, would permit exchange-traded funds ...
United States
13 Jul 2018
2
SEC Proposes Rule Change To Address Funds' Auditor Independence Problem
In a May 3, 2018 release (the "Release"), the SEC proposed amendments to the "Loan Rule" (as defined below), part of the SEC's auditor independence rule, Rule 2-01 of Regulation S-X.
United States
14 May 2018
3
Ropes & Gray's Investment Management Update – February - March 2018
The SEC believes that this discussion will provide investors with enough detail to appreciate the manner in which a fund manages its liquidity risk.
United States
13 Apr 2018
4
Ropes & Gray's Investment Management Update: June – July 2016
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
12 Aug 2016
5
SEC Requests Public Comment on Issues Concerning Exchange-Traded Products
On June 12, 2015, the SEC published a Request for Comment (the "Request") seeking public comment on topics related to the SEC's oversight of the listing and trading of exchange-traded products ("ETPs") on national securities exchanges.
United States
26 Jun 2015
6
Financial Stability Oversight Council Issues Proposed Recommendations Regarding Money Market Reform
On November 13, 2012, the members of the Financial Stability Oversight Council ("FSOC")1 voted unanimously to advance for public comment Proposed Recommendations Regarding Money Market Reform ("Proposed Recommendations").
United States
21 Nov 2012
7
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
8
SEC Releases Guidance On Whether Entities Related To A Registered Adviser Need To Register
On January 18, 2012, the staff of the Securities and Exchange Commission ("SEC") released guidance on various issues regarding the status under the Investment Advisers Act of 1940.
United States
25 Jan 2012
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