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Closed-End Funds

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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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November 1, 2024

SEC Division of Examinations Releases its 2025 Examination Priorities

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

SEC Staff Publish New Registered Fund Statistics Report

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, 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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March 28, 2024

SEC Staff Denies Closed-End Fund’s No-Action Request Seeking to Exclude Shareholder Proposal to Declassify Board

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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March 8, 2024

SEC Staff Issues No-Action Letter to Closed-End Funds Seeking to Exclude Activist Shareholder Proposals to Declassify Board

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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March 1, 2024

FinCEN Proposes New Rule to Subject Advisers to AML Requirements

Closed-End Funds, Investment Advisers
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February 20, 2024

SEC Staff Issues FAQs On Tailored Shareholder Reports

Exchange-Traded Funds (ETFs), Closed-End Funds, 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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February 5, 2024

Activist Investor Sues Closed-End Fund Over Poison Pill Provision

Closed-End 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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November 6, 2023

SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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October 26, 2023

SEC Division of Examinations Releases its 2024 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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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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October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 10, 2023

SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 6, 2023

SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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September 29, 2023

SEC Proposes Changes to EDGAR Filer Access and Account Management

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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June 21, 2023

SEC Settles Charges with Registered Adviser for Disclosure and Policy and Procedure Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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May 17, 2023

SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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March 22, 2023

SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

Business Development Companies, Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 21, 2023

SEC Proposes Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 15, 2023

SEC Division of Examinations Releases its 2023 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 6, 2023

SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 14, 2022

ISS Releases Annual Proxy Voting Guideline Updates

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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December 1, 2022

SEC Adopts Amendments to Increase Proxy Voting Transparency

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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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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October 25, 2022

SEC Staff Denies No-Action Relief to Fund Requesting to Exclude Shareholder Proposal

Closed-End Funds, 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 25, 2022

U.S. District Court Rules That “Control Share Acquisition” Provision of Closed-End Fund Bylaws Violates the Investment Company Act of 1940

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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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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August 7, 2020

Director of SEC’s Division of Investment Management Discusses Easing Restrictions on Certain Registered Fund Investments in Private Funds

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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June 2, 2020

SEC Staff Withdraws Prior No-Action Guidance on State Control Share Acquisition Statutes

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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February 24, 2020

Blackstone Receives Order on Novel Exemptive Application under the 1940 Act

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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January 24, 2020

Blackstone Receives Notice on Novel Exemptive Application under the 1940 Act

Closed-End Funds, Regulatory Compliance & Enforcement Actions
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