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2,347 results found

Article

Greenberg Traurig LLP | USA | 2 May 2019

In a First, SEC Grants Exemptive Relief to Non-Transparent Active ETF

On April 8, 2019, the Securities and Exchange Commission (SEC) issued a notice of an application for exemptive relief to Precidian Investments

Audio

Ropes & Gray LLP | USA | 1 May 2019

Podcast: Credit Funds: 1940 Act Interval Funds

In this podcast, Sarah Clinton and David Sullivan discuss interval funds registered under the Investment Company Act of 1940, an increasingly common

Article

Eversheds Sutherland (US) LLP | USA | 25 Mar 2019

Spinning in circles, Treasury resumes original course on regulated investment company income rules

On March 19, 2019, the Internal Revenue Service (IRS) and Treasury Department (Treasury) issued final regulations (T.D. 9851) (Final Regulations)

Article

Eversheds Sutherland (US) LLP | USA | 14 Mar 2019

And now for some good newsSEC no-action position provides limited relief for fund in-person voting requirements

On February 28, 2019, the Chief Counsel’s Office of the Securities and Exchange Commission’s Division of Investment Management issued a

Article

Mayer Brown | USA | 13 Mar 2019

SEC Loosens In-Person Voting Requirement for BDC Boards

On February 28, 2019, the staff of the Securities and Exchange Commission's Division of Investment Management issued a no-action letter to the

Article

Eversheds Sutherland (US) LLP | USA | 25 Feb 2019

SEC proposes to expand “testing-the-waters” provisions to all issuers

On February 19, 2019, the Securities and Exchange Commission (SEC) announced a proposal to expand the “testing-the-waters” exemption to all issuers

Article

Shearman & Sterling LLP | USA | 6 Feb 2019

SEC Proposes Changes to Regulatory Framework of Fund of Funds Arrangements

The Securities and Exchange Commission (the SEC) has proposed rules that would modernize the “fund of funds” rules. The rules would replace a

Article

Paul Hastings LLP | USA | 6 Feb 2019

SEC Reporting Obligations Under Section 13 and Section 16 of the Exchange Act

This legal update summarizes (1) the reporting requirements under Section 13 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)

Article

Vedder Price PC | USA | 31 Jan 2019

SEC Proposes New Fund-of-Funds Rule

On December 19, 2018, the SEC proposed new Rule 12d1-4 under the Investment Company Act of 1940, which, if adopted, would permit a fund to acquire

Article

Winston & Strawn LLP | USA | 30 Jan 2019

Form ADV Registration Considerations; Form ADV and Form PF Reporting Considerations (Part II)

In our previous post, we discussed whether a non-private fund account (e.g., a “managed account”) that holds crypto assets should be included in an

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