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SEC Proposes New Rule Amendments for Money Market Funds

USA - January 3 2022 On December 15, 2021, by a 3-2 vote, the U.S. Securities and Exchange Commission proposed a new round of rule amendments intended to “improve the…

Jay G. Baris, Jesse C. Kean, Louisa Kiu, Laurin Blumenthal Kleiman, Douglas E. Mccormack

SEC Identifies Deficiencies From its Electronic Investment Advice Initiative

USA - November 12 2021 On November 9, 2021, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) released a risk alert (Risk Alert) concerning…

Victoria A. Anglin, W. Hardy Callcott, Chuck Daly, Ranah Esmaili, Elizabeth Shea Fries, Laurin Blumenthal Kleiman

SEC Proposes Enhanced Proxy Voting Reports for Funds and Managers

USA - October 12 2021 On September 29, 2021, by a vote of 4-1, the U.S. Securities and Exchange Commission (SEC) proposed to expand the information that mutual funds…

Jay G. Baris, Holly J.Gregory, Jesse C. Kean, Katie Klaben

SEC Adopts New Investment Adviser Marketing Rule

USA - January 4 2021 On December 22, 2020, the Securities and Exchange Commission adopted amendments to modernize and consolidate the rules under the Investment Advisers…

Victoria A. Anglin, W. Hardy Callcott, Stephen L. Cohen, Elizabeth Shea Fries, Laurin Blumenthal Kleiman, Douglas E. Mccormack

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, Brian M. Kaplowitz, Jesse C. Kean, Laurin Blumenthal Kleiman, John A. Mackinnon, James C. Munsell