Blog Overview | The 40 Act Blog

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

Latest Posts

May 31, 2023

SEC Settles Charges with Registered Investment Adviser over Valuation Policies and Procedures

Regulatory Compliance & Enforcement Actions, Investment Advisers

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May 17, 2023

SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies

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

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May 9, 2023

SEC Charges Adviser and Fund Trustees in First Case Enforcing Liquidity Rule

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds

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May 8, 2023

SEC Settles Charges With Adviser for Breach of Fiduciary Duty Relating to Leveraged ETF Investments

Regulatory Compliance & Enforcement Actions, Investment Advisers

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May 4, 2023

SEC Staff Issue Risk Alert on Safeguarding Customer Records and Information at Branch Offices

Regulatory Compliance & Enforcement Actions, Investment Advisers

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April 20, 2023

SEC Settles Charges Against Adviser for Misstatements About Tax Loss Harvesting Service

Regulatory Compliance & Enforcement Actions, Investment Advisers

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MUTUAL FUNDS

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EXCHANGE TRADED FUNDS (ETFs)

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REGULATORY COMPLIANCE & ENFORCEMENT

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INVESTMENT ADVISERS

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CLOSED-END 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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