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House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements
  • Vedder Price PC
  • USA
  • April 16 2018

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the


SEC Liquidity Rule Guidance and Rulemaking - A More Flexible Approach
  • Dechert LLP
  • USA
  • April 5 2018

Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has


Under Advisement: SEC Scrutinizes Wealth Management Industry
  • Cadwalader Wickersham & Taft LLP
  • USA
  • March 21 2018

Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management


New SEC Enforcement Initiative Encourages Advisers to Self-Report Mutual Fund Share Class Violations
  • Baker & Hostetler LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) announced a new initiative to encourage


SEC’s share class selection disclosure initiative: what’s next
  • Eversheds Sutherland (US) LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure


SEC Share Class Selection Disclosure Initiative to Encourage Self-Reporting
  • Drinker Biddle & Reath LLP
  • USA
  • February 20 2018

On February 12, 2018, the U.S. Securities and Exchange Commission (SEC) announced a “Share Class Selection Disclosure Initiative” (“SCSD Initiative”


Securities and Exchange Commission Launches Share Class Selection Disclosure Initiative
  • Sidley Austin LLP
  • USA
  • February 13 2018

On February 12, 2018, the U.S. Securities and Exchange Commission (SEC or Commission) issued a press release announcing the Share Class Selection


Past, Present and Future of the DOL Fiduciary Rule
  • K&L Gates
  • USA
  • February 8 2018

The Department of Labor’s (“DOL”) fiduciary rule (“DOL Fiduciary Rule”) became applicable June 9, 2017, after an intense multiyear regulatory saga


SEC Chairman Clayton Addresses Senate Committee
  • Morrison & Foerster LLP
  • USA
  • October 2 2017

On September 26, 2017, SEC Chairman Jay Clayton delivered to the U.S. Senate Committee on Banking, Housing and Urban Affairs his first testimony as


Securities and Enforcement Update
  • McGuireWoods LLP
  • USA
  • September 29 2017

On Sept. 26, 2017, Securities and Exchange Commission Chairman Jay Clayton testified before the Senate Committee on Banking, Housing and Urban Affairs