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…
Claudio J. Arruda, Richard M. Cutshall, Arthur Don, Elaine C. Greenberg, Steven M. Malina
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…
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…
Tanya L. Boyle, Richard M. Cutshall, Terrence O. Davis, Arthur Don, Nathan M. Iacovino
USA - August 3 2020
Proxy advisory firms (Proxy Firms) have long provided institutional investors advice and recommendations with respect to management and shareholder…
Richard M. Cutshall, Arthur Don, Vincent Lewis
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…
Robert Long, William B. Mack, Jennifer D. Newton