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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…

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

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…

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

SEC Adopts Fund Derivatives Rule, Expands Leverage Limits, Forgoes Sales Practice Rules

USA - October 29 2020 A divided U.S. Securities and Exchange Commission (SEC) approved a long-awaited derivatives risk management rule that pulls back from some of the…

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

A general introduction to the regulation of virtual currencies in USA

USA - September 7 2020 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.

Alex R. Rovira, Andrew P. Blake, Daniel Engoren, Daniel J Applebaum, David A. Miller, David E.Teitelbaum, Dominique Gallego, Ivet A Bell, James B. Biery, Kenny S. Terrero, Lilya Tessler, Michael A Levy, Michael S. Sackheim, Nathan A. Howell, Pamela J. Martinson, Sean A. Smith, Teresa Wilton Harmon, Verity A. Van Tassel Richards.

SEC proposes wholesale overhaul to mutual fund and exchange-traded fund shareholder reporting

USA - August 20 2020 A package of new proposals by the Securities and Exchange Commission (the SEC) would streamline shareholder reports for mutual funds and…

Carol J. Whitesides, Frank P. Bruno, Jay G. Baris, Jesse C. Kean, John A. Mackinnon, Jonathan B. Miller, Jonathan J. Kelly, Laurin Blumenthal Kleiman.