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SEC Issues Statement and Request for Comment on Custody of Digital Assets by Special Purpose Broker-Dealers

USA - April 19 2021 An SEC statement and request for comment regarding the custody of digital asset securities by special purpose broker-dealers was published in the…

David W. Soden, John S. Marten, Nathaniel Segal, Wayne M. Aaron.

SEC Staff Seeks Industry Feedback on Cross Trade Practices

USA - April 19 2021 On March 11, 2021, the staff of the SEC's Division of Investment Management issued a statement soliciting industry feedback on the regulatory regime…

John S. Marten, Kelly Pendergast Carr, Nathaniel Segal.

SEC Staff No-Action Letter Permits Funds to Self-Custody Certain Loan Interests

USA - April 19 2021 On January 29, 2021, the staff of the SEC's Division of Investment Management issued no-action relief permitting a registered fund to self-custody its…

John S. Marten, Nathaniel Segal, Tyrique J. Wilson.

SEC Position Allows Insurance Companies to Rely on Prior Mutual Fund Substitution Orders

USA - April 19 2021 On February 23, 2021, the SEC issued a statement taking the position that the substitution by an insurance company of mutual funds used as investment…

John M. Sanders, John S. Marten, Nathaniel Segal.

SEC's Division of Examinations Issues 2021 Examination Priorities

USA - April 19 2021 On March 3, 2021, the SEC's Division of Examinations (formerly the Office of Compliance Inspections and Examinations (OCIE)) issued its examination…

Adam S. Goldman, John S. Marten, Nathaniel Segal.