Articles

Results 1 to 5 of 70
Most popular |Most recent


Three recommendations for selling and finding capital in the United States

USA, Italy - December 5 2019 John I. Sanders is a lawyer for the international law firm Kilpatrick Townsend & Stockton LLP in North Carolina, USA, specializing in financial and...

SEC Pushes Forward, Proposes Amendments to the CAT

USA - November 20 2019 In 2016, the SEC voted to create a comprehensive, consolidated audit trail (“CAT”) designed to allow regulators to efficiently and accurately track...

Lauren C. Jackson, Jeffrey T. Skinner.

SEC Issues Final ETF Rule and Amends Form N-1A

USA - October 18 2019 The SEC recently adopted a final rule (the “ETF Rule”) designed to modernize the registration of exchange-traded funds (“ETFs”)...

Andrew B. Sachs, Jeffrey T. Skinner.

SEC Issues Statement on Summary Prospectus Risk Disclosures for Mutual Funds

USA - September 18 2019 The staff of the SEC Division of Investment Management (the “Staff”) recently issued an Accounting and Disclosure Information statement summarizing...

Katherine A. McCurry, Thomas W. Steed, III.

States Sue SEC in Ongoing Fight over Reg BI

USA - September 11 2019 The political melee surrounding Regulation Best Interest (“Reg BI”) escalated yesterday with the filing of a lawsuit against the SEC by several state...

Lauren C. Jackson, Alexandra M. Fenno, Jeffrey T. Skinner.