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SEC Adopts Changes to Regulatory Framework of Fund of Funds Arrangements

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…

Allison M. Fumai, Brenden P.Carroll, Brian Roe, James V. Catano, Jeremy I. Senderowicz, Radin Ahmadian, William J. Bielefeld.

Liquidity Rule Reminders in Light of Recent Market Turmoil

USA - March 17 2020 As financial markets react to daily, dramatic news headlines concerning the coronavirus pandemic, an oil market price war, extraordinary government…

Aaron D. Withrow, Julien Bourgeois, Mark D. Perlow, Shayna Gilmore.

Massachusetts Moves Forward With Proposed Fiduciary Duty for Broker-Dealers and Investment Advisers

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…

K. Susan Grafton, Mark D. Perlow, Michael L. Sherman, Nicholas DiLorenzo, Steven Rabitz.

OCIE Risk Alert Offers Staff Observations regarding Investment Company Compliance; with Focus on Money Market Fund and Target Date Fund Initiatives

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.

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…

Alexander Karampatsos, K. Susan Grafton.