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December 20, 2024

Federal Government Shutdown and the SEC: What You Need to Know

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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July 29, 2024

NYSE Proposes Rule Change to Exempt Registered Closed-End Funds From Requirement to Hold Annual Shareholder Meetings

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs
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June 7, 2024

SEC Adopts Data Privacy Rule Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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April 18, 2024

SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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February 8, 2024

SEC Provides Guidance on Determining Investment Company Status in SPAC Rule Release

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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December 21, 2023

SEC Releases Staff Report on Definition of Accredited Investor

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers
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December 12, 2023

SEC Issues Updated Fall 2023 Regulatory Agenda

Closed-End Funds, BDCs, Investment Advisers, Mutual Funds, ETFs
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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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November 18, 2022

SEC Adopts Amendments Relating to Shareholder Reports and Investment Company Advertisements

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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May 31, 2022

SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning ESG Investment Practices

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 24, 2022

Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 17, 2022

SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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December 17, 2021

SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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May 20, 2021

SEC Issues Statement on Funds Investing in Bitcoin Futures

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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April 28, 2021

SEC Publishes New FAQ on Form N-CEN

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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April 6, 2021

SEC Withdraws and Modifies Certain Staff Letters in Light of Rule 18f-4

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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December 17, 2020

SEC Adopts Rule to Modernize Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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November 20, 2020

Compliance and Effective Dates Set for Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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November 18, 2020

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Investment Companies and Business Development Companies

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 29, 2020

SEC Staff’s Latest Dear CFO Letters Rescind or Modify Certain Existing Staff Positions and Express New Staff Positions

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 22, 2020

SEC Adopts Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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June 23, 2020

SEC Extends In-Person Meeting Relief for Fund Boards

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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April 9, 2020

SEC Provides Temporary Relief to Business Development Companies Related to COVID-19

Regulatory Compliance & Enforcement Actions, BDCs
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