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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SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date
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SEC Adopts Amendments to the Internet Adviser Exemption
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SEC Settles Charges with Advisers for Marketing Rule Violations Related to AI Washing
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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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