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SEC Proposes Changes to Regulatory Framework of Fund of Funds Arrangements

USA - February 6 2019 The Securities and Exchange Commission (the SEC) has proposed rules that would modernize the “fund of funds” rules. The rules would replace a...

Laura S. Friedrich, Nathan J. Greene, Paul S. Schreiber, Thomas M. Majewski, Ted Randolph, Andrew J. (Buddy) Donohue, Jay G. Baris, John (Sean) Finley, J.R. Morgan.


OCIE Highlights Investment Adviser Compliance Issues Related to the Cash Solicitation Rule

USA - December 3 2018 In a new Risk Alert, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) highlighted common compliance issues involving Rule 206(4)-3...

Laura S. Friedrich, Nathan J. Greene, Andrew J. (Buddy) Donohue, Jay G. Baris, John (Sean) Finley.


New SEC Staff Guidance Broadens the Applicability of 1940 Act Exemption for Mortgage Securitizers

USA - February 21 2018 In a no-action letter dated February 12, 2018, the SEC expanded the scope of Section 3(c)(5)(C) of the Investment Company Act to apply to a sponsor of...

Lorna Xin Chen, Nathan J. Greene, Bjorn Bjerke, Paul S. Schreiber, Thomas M. Majewski, Andrew J. (Buddy) Donohue, Jay G. Baris, Michael Pettingill.


The Changing Fiduciary Duty Landscape in a Trump Presidency

USA - November 14 2016 The fiduciary standards for institutions and individuals providing investment advice throughout the retail investment and municipal securities markets...

Nathan J. Greene, Jennifer D. Morton, Jenny Ding Jordan, Kenneth J. Laverriere, Russell D. Sacks, Steven Blau.


SEC Issues Investment Company ‘Reporting Modernization’ Rules

USA - November 9 2016 In May 2015, we reported on proposals by the US Securities and Exchange Commission designed to enhance reporting for mutual funds, ETFs and other...

Lorna Xin Chen, John Adams, Laura S. Friedrich, John W. Finley III, Nathan J. Greene, Paul S. Schreiber, Thomas M. Majewski.