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U.S. SEC Adopts Enhanced Proxy Voting Reports for Funds and Managers

USA - November 9 2022 On November 2, 2022, by a vote of 3-2, the U.S. Securities and Exchange Commission (SEC) adopted rule and form amendments to expand the information…

Jay G. Baris, Elizabeth Shea Fries, Nathan J. Greene, Jesse C. Kean, Laurin Blumenthal Kleiman, Jonathan B. Miller

SEC Overhauls Mutual Fund and ETF Shareholder Reports

USA - November 1 2022 On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) unanimously adopted sweeping rules and amendments that will significantly…

Jay G. Baris, Nathan J. Greene, Jesse C. Kean, Laurin Blumenthal Kleiman, Jonathan B. Miller

A general introduction to the regulation of virtual currencies in USA

USA - September 3 2021 This article reviews the need-to-know features of the legal and regulatory frameworks governing virtual currencies in USA, with particular regard to applicable securities and banking laws.

James B. Biery, Andrew P. Blake, Daniel Engoren, Dominique Gallego, Teresa Wilton Harmon, Nathan A. Howell, Michael S. Sackheim, Allison Ross Stromberg, Kristin S. Teager, David E Teitelbaum, Lilya Tessler

SEC Finalizes Framework for Registered Fund Valuation Practices

USA - December 16 2020 On December 3, the U.S. Securities and Exchange Commission adopted new Rule 2a-5 (New Rule 2a-5) addressing registered fund valuation practices and…

Jay G. Baris, Frank P. Bruno, Nathan J. Greene, Brian M. Kaplowitz, Jesse C. Kean, Laurin Blumenthal Kleiman, John A. Mackinnon

SEC Adopts Derivatives Rule for Registered Investment Companies

USA - November 19 2020 In an effort to modernize the regulatory framework to reflect the evolution of derivatives use and related investor protection concerns, a divided U…

Jay G. Baris, Nathan J. Greene, Jesse C. Kean, Laurin Blumenthal Kleiman, John A. Mackinnon, Michael S. Sackheim, Elizabeth M. Schubert