USA - December 7 2020
On Dec. 3, the Securities and Exchange Commission (SEC) adopted a new rule (Rule 2a-5) under the Investment Company Act of 1940 (the 1940 Act) that...
Nicholas Tarnowski.
USA - November 2 2020
The Securities and Exchange Commission (SEC) recently overhauled the rules applicable to “fund of funds” arrangements (where funds invest in other...
Nicholas Tarnowski.
USA - October 28 2020
On Oct. 28, 2020, the Securities and Exchange Commission (SEC) voted to adopt a new rule (Rule 18f-4) and other related amendments, significantly...
Zachary Karlan, Nicholas Tarnowski.
USA - July 14 2020
On July 6, the Securities and Exchange Commission (SEC or Commission) announced its long-awaited adoption of amendments (the Amendments) to Rule 0-5...
Nicholas Tarnowski, Ronald M. Feiman.
USA - July 8 2020
On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general...
Kevin P. Scanlan, Zachary Karlan, Ronald M. Feiman.