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SEC Adopts Regulation Best Interest and Form CRS; Issues Investment Advisers Act Interpretations

USA - June 13 2019 On June 5, 2019, the U.S. Securities and Exchange Commission (SEC), by a 3-1 vote, adopted two rules and two interpretations related to the standard...

Laurin Blumenthal Kleiman, Stephen L. Cohen, Katie Klaben, W. Hardy Callcott, Michael D. Wolk.

SEC Proposes Offering Reforms for Business Development Companies and Registered Closed-End Funds

USA - May 2 2019 On March 20, 2019, the U.S. Securities and Exchange Commission (the SEC), acting pursuant to recent legislation, proposed rule and form amendments...

Frank P. Bruno, Jonathan B. Miller, Carol J. Whitesides, Paul K. Risko, Istvan A. Hajdu, Alexander E. Csordas.

SEC Proposes New Standard of Care for Broker-Dealers: Overview and Considerations for Investment Professionals

USA - May 9 2018 On April 18, 2018, the U.S. Securities and Exchange Commission (SEC) released for comment three proposals intended to enhance the standard of...

Laurin Blumenthal Kleiman, Stephen L. Cohen, Andrew J. Sioson, James Brigagliano, W. Hardy Callcott.

Three Things to Know About Business Development Companies and the Small Business Credit Availability Act

USA - April 9 2018 On March 23, 2018, President Donald Trump signed the Consolidated Appropriations Act of 2018, which includes the Small Business Credit Availability...

Michael E. Borden, Michael Hyatte, Paul K. Risko.

Second Significant Trial Decision in Six Months in Favor of Mutual Fund Adviser That Delegated Services to Sub-Advisers

USA - March 16 2017 On February 28, 2017, a New Jersey federal court ruled in favor of a mutual fund adviser alleged to have received excessive fees because it delegated...

Alex J. Kaplan, Mark B. Blocker, Lisa E. Schwartz.