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2021 SEC Examination Priorities for Securities Industry Registrants

USA - March 26 2021 The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities…

Elaine C. Greenberg, Arthur Don, Claudio J. Arruda, Richard M. Cutshall, Steven M. Malina.

SEC Amends the ‘Accredited Investor’ Definition

USA - August 31 2020 On Aug. 26, 2020, the Securities and Exchange Commission adopted amendments to its Regulation D to cautiously expand the definition of "accredited…

SEC proposes rule changes to mutual fund and exchange traded fund disclosures

USA - August 27 2020 On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds…

Nathan M. Iacovino, Arthur Don, Richard M. Cutshall, Tanya L. Boyle, Terrence O. Davis.

The SEC’s 2020 Amendments to Proxy Rules and Supplemental Guidance to Investment Advisers on Proxy Voting Responsibilities

USA - August 3 2020 Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder…

Arthur Don, Richard M. Cutshall, Vincent Lewis.

FINRA Releases Guidance on Retail Communications Concerning Private Placement Offerings

USA - July 13 2020 On July 1, 2020, FINRA issued guidance on the application of FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving…

Jennifer D. Newton, Robert Long, William B. Mack.