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SEC Proposes New Valuation Practice Framework for Funds and BDCs

USA - April 23 2020 On Monday, the Securities and Exchange Commission (SEC) voted to propose new Rule 2a-5 under the Investment Company Act of 1940 (1940 Act)…

George M. Silfen, Ronald M. Feiman.

SEC Proposes to Modernize Rules Covering the Use of Derivatives and Short Sales by Registered Funds and Business Development Companies

USA - November 26 2019 On Nov. 25, the Securities and Exchange Commission (SEC) voted 5-0 to propose or repropose new rules revamping the framework for permissible use of…

Daniel King, Fabien Carruzzo, George M. Silfen, Ronald M. Feiman.

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

USA - November 6 2019 The Securities and Exchange Commission (the SEC) announced on Monday that it had voted to propose amendments to modernize Rule 206(4)-1 (which…

George M. Silfen, Kevin P. Scanlan.

SEC Eases Path for Exchange-Traded Fund (ETF) Launches

USA - November 1 2019 Until now, investment advisers seeking to launch ETFs had to navigate a costly and time-consuming approval process. The long-awaited change should be…

George M. Silfen, Ronald M. Feiman.

SEC Eases Path for Exchange-Traded Fund (ETF) Launches

USA - September 26 2019 In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11…

George M. Silfen, Ronald M. Feiman.