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SEC Proposes Rule Designed to Permit Certain ETFs to Operate Without an Exemptive Order and Adopts Amendments to the Liquidity Rule

USA - July 2 2018 On Thursday, June 28, 2018, the Securities and Exchange Commission (the “SEC” or the “Commission”) unanimously approved proposed Rule...

Michael R. Rosella, David A. Hearth, Wendell M. Faria, Bill Belitsky, Jacqueline A. May, Gary D. Rawitz, Yousuf Dhamee, Tram N. Nguyen, Vadim Avdeychik.


SEC Proposes Rules Designed to Enhance Standards of Conduct for Broker-Dealers and Investment Advisers

USA - April 26 2018 Nearly eight years after the Dodd-Frank Act authorized the Securities and Exchange Commission (the "SEC" or the "Commission") to issue new rules to...

Michael R. Rosella, David A. Hearth, Wendell M. Faria, Bill Belitsky, Jacqueline A. May, Gary D. Rawitz, Yousuf Dhamee, Tram N. Nguyen, Vadim Avdeychik.


SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification

USA - February 26 2018 On February 21, 2018, the Security and Exchange Commission (the “SEC”) voted to extend the compliance date for the liquidity...

Michael R. Rosella, David A. Hearth, Wendell M. Faria, Bill Belitsky, Gary D. Rawitz, Yousuf Dhamee, Tram N. Nguyen, Vadim Avdeychik.


SEC’s Division of Investment Management Voices Concerns Over Registered Funds Investing in Cryptocurrencies & Cryptocurrency-Related Products

USA - January 22 2018 Over the last few years, various fund sponsors have been contemplating different ways to bring cryptocurrency exchange traded products to the masses...

Michael R. Rosella, David A. Hearth, Wendell M. Faria, Bill Belitsky, Jacqueline A. May, Gary D. Rawitz, Yousuf Dhamee, Tram N. Nguyen, Vadim Avdeychik.


Trio of Enforcement Cases against Fund Advisers Signals Status Quo from SEC

USA - April 10 2017 If recent SEC Enforcement cases are any indication, the Commission’s agenda in the private fund adviser space appears largely unchanged for 2017...

Nick Morgan, Yousuf Dhamee, Tram N. Nguyen, Kyle M. Jones, Thomas A. Zaccaro.