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SEC Adopts New Rules and Amendments to Update the Approach to the Regulation of Registered Funds’ and BDCs’ Use of Derivatives and Other Transactions

USA - October 29 2020 The U.S. Securities and Exchange Commission on October 28, 2020 approved by a 3-2 vote a new rule and rule amendments (collectively, Final Rule)...

Ashley N. Rodriguez, Audrey Wagner, Philip T. Hinkle.

Analysis of the SEC’s Final Rulemaking to Regulate the Use of Derivatives and Other Transactions by Registered Investment Companies and BDCs

USA - October 28 2020 These regulatory actions include: (1) new Rule 18f4 under the Investment Company Act of 1940 (the Final Rule); (2) a related rule amendment under...

Ashley N. Rodriguez, Audrey Wagner, Nadeea R. Zakari, Marylyn Harrell, Nicholas C.D. Ward, Philip T. Hinkle, Jonathan R. Massey.

OCIE Publishes Risk Alert on COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers

USA - August 24 2020 The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk...

K. Susan Grafton, Ashley N. Rodriguez, Tricia J. Lee, Nicholas DiLorenzo.

OCIE Publishes Risk Alert Regarding Recent Focus Areas in Private Fund Adviser Examinations

USA - July 13 2020 The staff of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (staff) issued a National Exam Program Risk...

Russel G. Perkins, Timothy Spangler, Ashley N. Rodriguez, Tricia J. Lee, Matthew Bodziak.

The Supreme Court Affirms, But Limits, The SEC’s Disgorgement Authority

USA - July 6 2020 The Supreme Court issued its Opinion in Liu v. SEC1 on June 22, 2020, confirming but curtailing the Securities and Exchange...

Eric Auslander, Michael H. McGinley, Anthony S. Kelly, Catherine Botticelli, Dennis Lawson.