Rules and Regulations
SEC Proposes Expansion of “Testing the Waters” Provisions
Industry Update
Commissioner Hester Peirce Provides Remarks at the University of Missouri School ...
Yesterday the Securities and Exchange Commission proposed a broad expansion of the popular “testing the waters” provisions to all companies, including seasoned reporting companies, sm...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
Rules and Regulations
SEC Proposes Significant Changes to Rules for Funds of Funds
SEC Staff Grants No-Action Relief to Madison Capital Funding LLC Under Section 206(4) and Rule 206(4...
In late December, the SEC proposed changes it said would “streamline and enhance the regulatory framework applicable to funds that invest in other funds.” The proposal would rescind R...
Rules and Regulations
SEC Staff Releases Update to Investment Company Reporting Modernization FAQs
SEC Proposes Rule Changes for Fund of Funds Arrangements
Industry Update
Remarks...
Industry Update
Remarks from Commissioner Peirce before the Crypto Valley Summit
SEC Chairman, Commissioners Deliver Remarks at Proxy Process Roundtable
SEC Public Statement on Digi...
The SEC recently voted to adopt amendments to Rule 606 of Regulation NMS (the “Final Rule”) that expand broker-dealers’ disclosure obligations with regard to how they handle investo...
Rules and Regulations
SEC Proposes Simplified Prospectus Summaries for Variable Annuities and Variable Life Insurance Contracts
Industry Update
Blass Remarks at the Independent Dire...
