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Court Dismisses Plaintiffs’ Excessive Fee Claim against Mutual Fund Adviser Following Trial

USA - November 22 2019 On September 27, 2019, following a two-week bench trial, the U.S. District Court for the Southern District of New York dismissed an action brought by...

Jacob C. Tiedt, John S. Marten, Luisa M. Lewis.

SEC Proposes Expedited Review Process for Exemptive Applications

USA - November 18 2019 On October 18, 2019, the SEC issued a release proposing amendments to Rule 0 5 under the Investment Company Act of 1940 that would expedite the review...

Jacob C. Tiedt, John S. Marten, Tyrique J. Wilson.

SEC Extends Temporary Relief for MiFID II-Compliant Research Payments

USA - November 18 2019 On October 26, 2017, the SEC staff issued a no-action letter providing relief to broker-dealers that provide research that constitutes “investment...

Jacob C. Tiedt, John S. Marten, John M. Sanders.

SEC Proposes Rule Changes for Proxy Advisory Firms

USA - November 18 2019 On November 5, 2019, the SEC issued a release proposing amendments to the federal proxy rules that are intended to enhance the accuracy and...

Jacob C. Tiedt, John S. Marten, Cody L. Lipke.

SEC Proposes Amendments to Shareholder Proposal Rule

USA - November 18 2019 On November 5, 2019, the SEC issued a release proposing amendments to Rule 14a-8 under the Securities Exchange Act of 1934, which is the rule that...

Jacob C. Tiedt, John S. Marten, Mark Quade.