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SEC Settles Charges Against Two Advisers Relating to Variable Insurance Portfolios

USA - October 29 2019 On September 16, 2019, the SEC announced that it had settled administrative proceedings against two Prudential Financial subsidiaries for allegedly...

Nathaniel Segal, Jacob C. Tiedt, John S. Marten.

The New Standards for Investor Protection : An Analysis of Regulation Best Interest, Form CRS and Two Interpretations of the US Investment Advisers Act

USA - September 4 2019 On June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted three to one to approve a package of rulemakings and interpretations...

Cody J. Vitello.

The New Standards for Investor Protection: An Analysis of Regulation Best Interest, Form CRS and Two Interpretations of the US Investment Advisers Ac

USA - August 29 2019 On June 5, 2019, the Securities and Exchange Commission (the “SEC”) voted three to one to approve a package of rulemakings and interpretations...

Cody J. Vitello.

SEC Proposes New Fund-of-Funds Rule

USA - January 31 2019 On December 19, 2018, the SEC proposed new Rule 12d1-4 under the Investment Company Act of 1940, which, if adopted, would permit a fund to acquire...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Nathaniel Segal, Jacob C. Tiedt, John S. Marten, Cathy Gonzales O'Kelly, Cody L. Lipke, Maureen A. Miller, Heidemarie Gregoriev, Adam S. Goldman, Mark Quade, Jeff VonDruska, Jake W. Wiesen, Junaid A. Zubairi, Joseph M. Mannon, Deborah Bielicke Eades, Cody J. Vitello, Sam Tyfield, Joel S. Forman.

SEC Staff Seeks Industry Engagement on Impact of MiFID II Research Provisions

USA - January 31 2019 On December 21, 2018, the SEC issued a statement encouraging continued industry engagement on the impact of recently implemented European Union rules...

Juan M. Arciniegas, James A. Arpaia, Renee M. Hardt, Nathaniel Segal, Jacob C. Tiedt, John S. Marten, Cathy Gonzales O'Kelly, Cody L. Lipke, Maureen A. Miller, Heidemarie Gregoriev, Adam S. Goldman, Mark Quade, Jeff VonDruska, Jake W. Wiesen, Junaid A. Zubairi, Joseph M. Mannon, Deborah Bielicke Eades, Cody J. Vitello, Sam Tyfield, Joel S. Forman.