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The SEC's Modernized Marketing Rule for Investment Advisers

USA - January 20 2021 On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the Final Rule) to Rule 206(4)-1 under the Investment…

Catherine O'Neill, Jennifer A. DiNuccio, Kasey L. Lekander, Lindsay R. Grossman, Michael S. Caccese, Michael W. McGrath, Pablo J. Man, Pamela A. Grossetti, Richard F. Kerr.

Goodbye to All That: SEC Adopts Rules Overhauling Funds' Use of Derivatives; Ends Asset Segregation

USA - November 12 2020 On 28 October 2020, the U.S. Securities and Exchange Commission adopted Rule 18f-4 under the Investment Company Act of 1940, as amended. The rule…

Fatima S. Sulaiman, Kenneth Holston, Matthew J. Rogers, Michael W. McGrath.

The New Fund of Funds Rule and ETFs—(Missed) Opportunities

USA - November 2 2020 The SEC recently adopted Rule 12d1-4 (Rule 12d1-4 or Rule) under the Investment Company Act of 1940 (1940 Act) to streamline the regulatory framework…

Clifford J. Alexander, Peter J. Shea, Sari A. El-Abboud, Stacy L. Fuller.

COVID-19: Regulatory Relief for Registered Funds and Investment Advisers

USA - March 24 2020 The pandemic coronavirus (“COVID-19”) continues its unprecedented disruption of the economy and markets. In particular, the disruption to day-to-day…

Jin H. Ahn, Mark P. Goshko, Trayne S. Wheeler.

SEC Proposes to Modernize the Advertising Rule for Investment Advisers

USA - November 19 2019 On November 4, 2019, the U.S. Securities and Exchange Commission ("SEC") published proposed amendments (the "proposed amendments" or "proposed rule")…

Catherine O'Neill, Michael S. Caccese, Michael W. McGrath, Pamela A. Grossetti.