SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest
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SEC Staff Denies Closed-End Fund’s No-Action Request Seeking to Exclude Shareholder Proposal to Declassify Board
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Seward & Kissel Advises Guinness Atkinson on the Submission of an Application to Offer ETF Share Classes of its Existing Mutual Funds
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SEC Staff Issues No-Action Letter to Closed-End Funds Seeking to Exclude Activist Shareholder Proposals to Declassify Board
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SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF
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FinCEN Proposes New Rule to Subject Advisers to AML Requirements
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SEC Proposes Update to Definition of Qualifying Venture Capital Fund
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SEC Staff Issues FAQs On Tailored Shareholder Reports
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SEC Staff Updates Marketing Rule FAQs
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SEC Settles with Sixteen Firms for Charges of Widespread Recordkeeping Failures
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