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

Latest Posts

March 22, 2023

SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

Business Development Companies, Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 21, 2023

SEC Proposes Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 6, 2023

SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 28, 2023

SEC Proposes New Safeguarding Rule for Investment Advisers

Exchange-Traded Funds (ETFs), Investment Advisers
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February 15, 2023

SEC Division of Examinations Releases its 2023 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 10, 2023

SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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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