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SEC Proposes New Rule on Funds’ Valuation Practices

USA - April 29 2020 On April 21, 2020, the Securities and Exchange Commission (SEC) issued a proposal (the proposing release) to adopt Rule 2a-5 (the Proposed Rule)…

Kiara I. Covarrubias, Bomi Lee, Andrew E. Seaberg

SEC Provides Temporary Additional Flexibility to Registered Investment Companies to Borrow and Lend

USA - April 22 2020 The Securities and Exchange Commission (SEC) recently issued an order (Order) permitting registered open-end funds (other than money market funds)…

Joshua M. Lindauer

SEC Reminds Investment Companies: Timely Investor Communications Are Still Important

USA - April 17 2020 The staff of the Division of Investment Management (the “Division”) of the Securities and Exchange Commission (SEC) issued a statement on April 14…

Stacie L. Lamb

SEC Proposes Update to Accredited Investor Definition that Would Make Private Markets Available to More Investors

USA - January 2 2020 On December 18, 2019, the Securities and Exchange Commission (SEC) voted to propose amendments to the definition of “accredited investor” in Rule…

Joshua M. Lindauer, Andrew C. Raby

SEC Proposes Wide-Ranging Changes to Investment Adviser Marketing Rules

USA - November 21 2019 On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would…

Thomas J. Keefe