We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 385

SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway
  • Greenberg Traurig LLP
  • USA
  • July 25 2016

Registered investment advisers have noticed increased SEC scrutiny during exams into mutual fund share class disclosure and fees in recent months


SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway
  • Greenberg Traurig LLP
  • USA
  • July 25 2016

On July 13, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Share Class Initiative (the Initiative). The


SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule
  • Greenberg Traurig LLP
  • USA
  • July 18 2016

On July 1, 2016, the Securities and Exchange Commission (SEC) approved changes to the NASDAQ Listing Rules that will now require every NASDAQ-listed


Agencies Continue to Actively Enforce the Limits of the Passive Investment Exemption Under the HSR Act
  • Greenberg Traurig LLP
  • USA
  • July 14 2016

The U.S. Department of Justice (DOJ) announced July 12, 2016, that ValueAct Capital (ValueAct) has agreed to pay $11 million to settle allegations


FSOC Report Targets Marketplace Lending
  • Greenberg Traurig LLP
  • USA
  • July 12 2016

The Financial Stability Oversight Council (FSOC) issued its annual report at the end of June, the sixth since the FSOC began issuing reports under


Financial Stability Oversight Council Releases 2016 Annual Report
  • Greenberg Traurig LLP
  • USA
  • July 7 2016

The Financial Stability Oversight Council (FSOC) has released its 2016 Annual Report, which was unanimously approved by its voting members on Tuesday


SEC IM Guidance Update - Investment Company Business Continuity Plans
  • Greenberg Traurig LLP
  • USA
  • July 5 2016

In connection with the Press Release announcing a Rule Proposal regarding adoption of written business continuity and transition plans by


New SEC Rule Proposal - Written Business Continuity and Transition Plans for Registered Advisers
  • Greenberg Traurig LLP
  • USA
  • June 30 2016

Earlier this week, the SEC issued a Press Release announcing a Rule Proposal that would require SEC-registered investment advisers to adopt written


SEC Adjusts Thresholds for ‘Qualified Client’ Status - Effective Aug. 15, 2016
  • Greenberg Traurig LLP
  • USA
  • June 17 2016

As it signaled its intent in May (notice available here), on June 14, 2016, the Securities and Exchange Commission (the Commission) issued an Order


SEC Raises Net Worth Threshold for ‘Qualified Client’ Status to $2.1 Million Effective Aug. 15, 2016
  • Greenberg Traurig LLP
  • USA
  • June 16 2016

As it previously signaled it would do, on June 14, 2016, the SEC issued an Order (available here) increasing the net worth threshold for