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

Latest Posts

November 29, 2023

SEC Announces Robust Fiscal Year 2023 Enforcement Results

Regulatory Compliance & Enforcement Actions
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November 6, 2023

SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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October 26, 2023

SEC Division of Examinations Releases its 2024 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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October 18, 2023

SEC Settles Charges Against Ratings Agencies Relating to Alleged Recordkeeping Failures

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds, ETFs
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October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 10, 2023

SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

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