NYSE Proposes Rule Change to Exempt Registered Closed-End Funds From Requirement to Hold Annual Shareholder Meetings
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SEC Releases Spring 2024 Regulatory Agenda, Plans to Re-Propose Several Key Rules
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SCOTUS Holds that Defendants in SEC Enforcement Actions Seeking Civil Penalties are Entitled to Jury Trial
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SEC Adopts Data Privacy Rule Amendments to Regulation S-P
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SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers
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SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees
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SEC Staff Publish New Registered Fund Statistics Report
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SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance
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CBOE Applies for SEC Approval to List and Trade ETF Share Classes
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SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations
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