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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

February 25, 2022

U.S. District Court Rules That “Control Share Acquisition” Provision of Closed-End Fund Bylaws Violates the Investment Company Act of 1940

Closed-End Funds, Regulatory Compliance & Enforcement Actions

February 24, 2022

Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

February 23, 2022

SEC Charges Founder of Registered Investment Adviser with Fraud

Regulatory Compliance & Enforcement Actions, Mutual Funds

February 11, 2022

SEC Proposes Rules and Amendments to Enhance Cybersecurity Preparedness of Investment Advisers and Investment Companies

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

February 1, 2022

SEC Chair Gary Gensler Highlights Opportunities to Strengthen Cybersecurity Practices of Investment Companies and Advisers in Speech

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

December 17, 2021

SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

November 23, 2021

SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

November 12, 2021

SEC Division of Examinations Issues Risk Alert on Investment Adviser Fee Calculations

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 11, 2021

SEC Division of Examinations Staff Issues Risk Alert for Advisers that Provide Electronic Investment Advice

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs

October 5, 2021

SEC Charges Former Executives of Registered Investment Adviser with Fraud

Regulatory Compliance & Enforcement Actions, Mutual Funds

April 28, 2021

SEC Publishes New FAQ on Form N-CEN

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

April 6, 2021

SEC Withdraws and Modifies Certain Staff Letters in Light of Rule 18f-4

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

March 15, 2021

SEC Issues Statement on Investment Company Cross Trading Practices Potentially Impacted by the Valuation Rule

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs

March 15, 2021

Additional Semi-Transparent ETF Sponsor Receives Amended Exemptive Relief to Use “Custom Baskets”

Regulatory Compliance & Enforcement Actions, ETFs

March 8, 2021

SEC Releases FAQs on New Rules Establishing Updated Regulatory Framework for Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs

March 5, 2021

Mutual Fund Sponsor Receives Approval for First Mutual Fund to ETF Conversion

Mutual Funds, ETFs

March 4, 2021

SEC Issues Statement on Insurance Product Fund Substitution Applications

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 4, 2021

SEC Releases Primer on Money Market Funds and The Repo Market

Regulatory Compliance & Enforcement Actions, Mutual Funds

February 11, 2021

Two Semi-Transparent ETF Sponsors Receive Amended Exemptive Relief to Use “Custom Baskets”

February 8, 2021

Independent Directors Council Submits Comment Letter on Federal Trade Commission’s Proposed Amendments to Premerger Notification Requirements

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

January 25, 2021

SEC Staff Grants No-Action Relief from Section 17(f) of the 1940 Act and Rule 17f-2 Thereunder with Respect to Self-Custody of Loan Interests

Regulatory Compliance & Enforcement Actions, Mutual Funds

December 30, 2020

Invesco Receives Relief from the SEC to Launch Semi-Transparent ETFs

December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds

December 18, 2020

Pricing Service to Pay $8 Million to Settle SEC Charges

Regulatory Compliance & Enforcement Actions, Mutual Funds

December 18, 2020

SEC’s Investment Management Division Issues Guidance on Funds’ Risk Disclosure Regarding Investments in Emerging Markets

Regulatory Compliance & Enforcement Actions, Mutual Funds

December 17, 2020

SEC Adopts Rule to Modernize Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

November 24, 2020

SEC Settles Charges Against Investment Advisory Firms and Dually-Registered Broker-Dealer and Investment Adviser Firms Related to Sales of Complex Exchange-Traded Products

Regulatory Compliance & Enforcement Actions, Investment Advisers

November 20, 2020

Compliance and Effective Dates Set for Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

November 18, 2020

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Investment Companies and Business Development Companies

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

October 29, 2020

SEC Staff’s Latest Dear CFO Letters Rescind or Modify Certain Existing Staff Positions and Express New Staff Positions

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

October 22, 2020

SEC Adopts Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

October 9, 2020

SEC Reaches Settlement with Investment Adviser Regarding Recapture of Waived Fees and Reimbursed Expenses from Money Market Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds

October 5, 2020

SEC Settles Charges Against Investment Adviser for Unlawful Cross Trades

Regulatory Compliance & Enforcement Actions, Investment Advisers

September 23, 2020

NYSE Arca, Inc. Files Proposed Rule Change to Adopt a Generic Listing Rule for Certain Semi-Transparent ETFs

August 7, 2020

SEC Proposes Modernizations to Fund Shareholder Reports and Disclosures

Regulatory Compliance & Enforcement Actions, Mutual Funds

August 7, 2020

Director of SEC’s Division of Investment Management Discusses Easing Restrictions on Certain Registered Fund Investments in Private Funds

Closed-End Funds, Regulatory Compliance & Enforcement Actions

July 8, 2020

Registered Fund Adviser and Affiliate Censured and Fined for Violations of Section 12(d)(1)(A) (Fund of Funds Limitations) and Compliance Rules

Regulatory Compliance & Enforcement Actions, Mutual Funds

June 26, 2020

Department of Labor Proposes Rule Affecting ESG Plan Investments

Regulatory Compliance & Enforcement Actions, Mutual Funds

June 23, 2020

SEC Extends In-Person Meeting Relief for Fund Boards

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds

June 16, 2020

Federal Reserve Announces Updates to Secondary Market Corporate Credit Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds

June 4, 2020

SEC Staff Issues No-Action Letter for Funds Participating in TALF 2020

Regulatory Compliance & Enforcement Actions, Mutual Funds

June 2, 2020

CFTC Issues Customer Advisory Regarding Commodity ETPs and Funds

Regulatory Compliance & Enforcement Actions, ETFs

June 2, 2020

SEC Staff Withdraws Prior No-Action Guidance on State Control Share Acquisition Statutes

Closed-End Funds, Regulatory Compliance & Enforcement Actions

May 22, 2020

FINRA Issues Notice Reminding Firms of Sales Practice Obligations for Certain Exchange-Traded Products

Regulatory Compliance & Enforcement Actions, ETFs

May 21, 2020

SEC Charges Three Former Audit Firm Partners for Exam Sharing Misconduct

Regulatory Compliance & Enforcement Actions, Mutual Funds

May 15, 2020

ETF Sponsors Submit Letters to Major Exchanges Regarding ETP Categorization

Regulatory Compliance & Enforcement Actions, ETFs

May 4, 2020

Major Exchanges for ETFs Receive Approval for Generic Listing Standards for ETFs that Can Rely on Rule 6c-11

Regulatory Compliance & Enforcement Actions, ETFs

May 4, 2020

SEC Fines Fund Adviser for Overvaluing its Securities and Misleading Performance Disclosures

Regulatory Compliance & Enforcement Actions, Mutual Funds

April 24, 2020

SEC Adopts Rule Clarifying Fair Value Determinations

Regulatory Compliance & Enforcement Actions, Mutual Funds

April 16, 2020

SEC’s Division of Investment Management Issues Statement on Importance of Delivering Timely and Material Information to Investment Company Investors

Regulatory Compliance & Enforcement Actions, Mutual Funds

April 16, 2020

SEC’s Division of Investment Management Issues Information Update on Exemptive Application Hearing Requests

Investment Advisers, Mutual Funds

April 9, 2020

SEC Provides Temporary Relief to Business Development Companies Related to COVID-19

Regulatory Compliance & Enforcement Actions, BDCs

April 2, 2020

Two Semi-Transparent ETFs Listed for Trading on a U.S. Exchange

April 1, 2020

SEC Staff Grants Temporary Relief to Support Open-End Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 26, 2020

SEC Provides Revised Relief to Assist Registered Funds Affected by the Coronavirus

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 25, 2020

SEC Staff Grants Temporary Relief to Support Money Market Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 25, 2020

Federal Reserve Opens Expanded Money Market Fund Liquidity Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 19, 2020

Federal Reserve Creates Money Market Fund Liquidity Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds

March 12, 2020

Broker-Dealer Entities Fined $35 Million for Violations Relating to Inverse ETF Recommendations to Retail Investors

Regulatory Compliance & Enforcement Actions, ETFs

March 9, 2020

SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names

Regulatory Compliance & Enforcement Actions, Mutual Funds

February 24, 2020

Blackstone Receives Order on Novel Exemptive Application under the 1940 Act

Closed-End Funds, Regulatory Compliance & Enforcement Actions

February 24, 2020

Non-Transparent ETFs Receive Approvals to List on an Exchange

January 24, 2020

Blackstone Receives Notice on Novel Exemptive Application under the 1940 Act

Closed-End Funds, Regulatory Compliance & Enforcement Actions

January 16, 2020

Major Exchanges for ETFs Have Filed Proposed Rule Changes to Establish Generic Listing Standards for ETF Shares Permitted to Rely on Rule 6c-11

Regulatory Compliance & Enforcement Actions, ETFs

January 16, 2020

SEC Proposes to Modernize Auditor Independence Rules

Regulatory Compliance & Enforcement Actions, Mutual Funds

January 8, 2020

Non-Transparent ETF Sponsors Request Additional Relief

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