USA - October 9 2020
On October 7, 2020, the Securities and Exchange Commission voted to adopt Rule 12d1-4 under the Investment Company Act of 1940 and related amendments…
William J. Bielefeld, Jeremy I. Senderowicz, Radin Ahmadian, James V. Catano, Allison M. Fumai, Brenden P.Carroll, Brian Roe
USA - March 17 2020
As financial markets react to daily, dramatic news headlines concerning the coronavirus pandemic, an oil market price war, extraordinary government…
Julien Bourgeois, Shayna Gilmore, Mark D. Perlow, Aaron D. Withrow
USA - January 6 2020
Massachusetts' Secretary of the Commonwealth, William F. Galvin, caused the Securities Division to issue, on November 29, 2019, a revised proposed…
Nicholas DiLorenzo, K. Susan Grafton, Mark D. Perlow, Steven Rabitz, Michael L. Sherman
USA - December 6 2019
The Securities and Exchange Commission's Office of Compliance Inspections and Examinations on November 7, 2019 issued a Risk Alert in which the OCIE…
Christopher M. Dailey
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