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SEC Proposes Amendments to Auditor Independence Rule to Address the “Loan Provision”
  • Dechert LLP
  • USA
  • May 18 2018

The U.S. Securities and Exchange Commission (SEC) voted unanimously on May 2, 2018 to propose amendments to Rule 2-01(c)(1)(ii)(A) under Regulation


Less Form, More Substance: The SEC Staff’s Recent Functional
  • K&L Gates
  • USA
  • March 14 2018

The staff of the Securities and Exchange Commission ("SEC"), in recognition of the evolution of the real estate business over the past 70 years, has


SEC Staff Grants a Closed-End Fund No-Action Relief Under Rule 486(b) Covering Securities Other Than Common Stock
  • Dechert LLP
  • USA
  • February 23 2018

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) on February 14, 2018


SEC Amendments to Form ADV: What’s New?
  • Drinker Biddle & Reath LLP
  • USA
  • February 15 2018

On August 25, 2016, the Securities and Exchange Commission (SEC) adopted various amendments to Part 1A of the Form ADV (“Form ADV”) filed by


Market Compliance Corner
  • Baker McKenzie
  • USA
  • November 24 2017

The SEC settled an enforcement action against an outsourced CCO who failed to file timely and accurate reports with the Commission. The action can be


SEC Provides Greater Deference to Public Company Boards
  • Manatt Phelps & Phillips LLP
  • USA
  • November 16 2017

On Nov. 1, 2017, the Securities and Exchange Commission (SEC) issued Staff Legal Bulletin No. 14I(CF), which articulates important interpretive


SEC Staff Publishes New Guidance on Shareholder Proposals
  • Katten Muchin Rosenman LLP
  • USA
  • November 10 2017

On November 1, the Division of Corporation Finance of the Securities and Exchange Commission (Division) published Staff Legal Bulletin No. 14I (SLB


SEC Issues MiFID II No-Action Relief and Allays Various Cross-Border Concerns
  • Drinker Biddle & Reath LLP
  • USA
  • November 6 2017

On January 3, 2018, the European Union (EU) Markets in Financial Instruments Directive (MiFID II) will require, for impacted EU parties, that research


SEC Staff Gives Company Boards Central Role in 14a-8 ‘Ordinary Business’ and ‘Economic Relevance’ Exclusions
  • Shearman & Sterling LLP
  • USA
  • November 6 2017

On November 1, 2017, the staff (the “Staff”) of the Division of Corporation Finance of the Securities and Exchange Commission (SEC) issued Staff Legal


Cross-Border Implementation of MiFID II Research Provisions SEC No-Action Relief to Investment Advisers and Broker-Dealers and European Commission Guidance
  • Schulte Roth & Zabel LLP
  • USA
  • October 26 2017

On Oct. 26, 2017, the U.S. Securities and Exchange Commission (“SEC”) published three temporary no-action letters providing U.S. broker-dealers and