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Recent SEC Leadership and Organizational Change

USA - February 1 2021 In December 2020, the SEC announced multiple leadership and organizational changes, including the departures of the Directors of the Divisions of…

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

SEC Adopts Rule Amendments to Permit Electronic Signatures to Authenticate SEC Filings

USA - February 1 2021 On November 17, 2020, the SEC adopted amendments to Rule 302(b) of Regulation S-T to permit the use of electronic signatures in authentication…

Jacob C. Tiedt, Jake W. Wiesen, John S. Marten.

SEC Staff Issues ADI Regarding Risk Disclosures for Registered Funds Investing in Emerging Markets

USA - February 1 2021 On December 14, 2020, the staff of the SEC's Division of Investment Management issued guidance, in the form of an Accounting and Disclosure…

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

OCIE Risk Alert Cautions Firms to Comply with Large Trader Obligations

USA - February 1 2021 A December 16, 2020 risk alert issued by the SEC's Office of Compliance Inspections and Examinations (OCIE) cautions investment advisers and…

David W. Soden, Jacob C. Tiedt, John S. Marten.

Parties Stipulate to Dismissal of Last Pending Section 36(b) Excessive Fee Suit

USA - February 1 2021 On December 30, 2020, the parties to the last pending excessive fee suit brought against a mutual fund's investment adviser under Section 36(b) of the…

Jacob C. Tiedt, John S. Marten.