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Research Reports of Certain Covered Investment Funds Now Receive Safe Harbor Protection from Being Deemed Offers or Sales

USA - January 28 2019 Pursuant to new Rule 139b (Rule) under the Securities Act of 1933, the publication of a “research report” on “covered investment funds” by an...

K. Susan Grafton, Alexander Karampatsos.


Fund Boards May Rely on CCO Representations in Lieu of Quarterly Board Determinations Under Rules 10f-3, 17a-7 and 17e-1

USA - October 19 2018 The Staff of the SEC’s Division of Investment Management has issued a no-action letter permitting a fund’s board to rely on written representations......

Phillip Garber, Aaron D. Withrow.


Fund Boards May Rely on CCO Representations in Lieu of Quarterly Board Determinations Under Rules 10f-3, 17a-7 and 17e-1

USA - October 15 2018 The Staff of the SEC’s Division of Investment Management has issued a no-action letter permitting a fund’s board to rely on written representations...

Phillip Garber, Aaron D. Withrow.


Securities and Exchange Commission

USA - February 7 2018 Congress and the Trump Administration may be embarking on making far-reaching changes that will recalibrate the manner in which financial services are...

K. Susan Grafton, Corey F. Rose, Andrew L. Oringer.


Treasury’s Third Report on Financial System Regulation Focuses on the Asset Management and Insurance Industries

USA, Global - December 4 2017 The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance...

Matthew E. Barsamian, Alexander Karampatsos, Erica Evans, Christine Ayako Schleppegrell, Brooke A. Higgs, Robert H. Ledig, Thomas P. Vartanian.