The 40 Act Blog

Highlighting Regulatory Developments in Mutual Funds, ETFs, Closed-End Funds, and BDCs

Latest Posts

November 19, 2024

SEC Charges Robo-Adviser with Marketing Rule Violations

Regulatory Compliance & Enforcement Actions, Investment Advisers

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November 12, 2024

SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

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November 11, 2024

Financial Services Firm Affiliates Settle Five SEC Enforcement Actions for Allegedly Misleading Customers and Failing to Act in their Best Interests

Regulatory Compliance & Enforcement Actions

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November 5, 2024

SEC Charges Investment Company, CEO and Board Member for Alleged Misleading Statements Regarding Use of Artificial Intelligence

Regulatory Compliance & Enforcement Actions, Investment Advisers

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November 4, 2024

SEC Charges Adviser with Failing to Follow ESG Investment Criteria

Regulatory Compliance & Enforcement Actions

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November 1, 2024

SEC Division of Examinations Releases its 2025 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

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BDCs

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The 40 Act Blog is published by the Registered Funds Group at Seward & Kissel LLP and reviews current regulatory matters of interest to attorneys, compliance officers, executives, and other participants in the investment management industry.

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