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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…

Julien Bourgeois, Brendan C. Fox, Mark D. Perlow, Aaron D. Withrow

Federal Reserve Proposes Revisions to its Control Framework: Implications for Asset Managers and Other Bank Investors

USA - July 8 2019 The Federal Reserve Board (FRB) recently issued a proposed rule that would codify and clarify when a company is presumed to have…

Robert J. Rhatigan, David L. Ansell, Christopher J. Geissler, David J. Harris

SEC Proposes Best Interest Standard for Broker-Dealers, Related Investment Adviser Guidance and New Customer Relationship Summary Form

USA - July 11 2018 The U.S. Securities and Exchange Commission has published a package of proposed rules and a proposed interpretation…

Nicholas DiLorenzo, James V. Catano, K. Susan Grafton, Brian J. McGrady, Jr, Jennifer O'Brien, Mark D. Perlow, Ashley N. Rodriguez, Christine Ayako Schleppegrell, Michael L. Sherman, Yevgeniy Yalon

A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory…

James V. Catano, Erica Evans, Melissa O'Neill, Jeffrey S. Puretz, Christine Ayako Schleppegrell

SEC Proposes Transaction Fee Pilot for NMS Stocks

USA - April 26 2018 In the release proposing the 610T Pilot (Proposing Release), the SEC addressed a number of concerns expressed by various market participants and…

K. Susan Grafton, Jennifer O'Brien