The ‘40 Act Blog Top 10 of 2025
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SEC Issues Combined Notice to 30 Applicants Allowing for ETF Class
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Supreme Court Hears Oral Arguments on Whether Activist Shareholders of Closed-End Funds Have Private Rights of Action under the Investment Company Act of 1940
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SEC Director Daly’s Speech Regarding the Division’s Four-Year Workplan
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SEC Commissioner Uyeda’s Speech Regarding Retirement Fund Exposure to Private Investments
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SEC Division of Examinations Releases its 2026 Examination Priorities
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SEC Issues Order for DFA Exemptive Application, Opening the Door to ETF Share Classes
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WEBINAR: Tax-Efficient Portfolio Conversions Using Section 351 – 2-Part Webinar Series
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Approaching Compliance Dates for Regulation S-P
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Federal Government Shutdown and the SEC: What Registered Funds, including ETFs and Mutual Funds Need to Know
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