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Closed-End Funds

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SEC Staff Issues FAQs On Tailored Shareholder Reports

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

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Activist Investor Sues Closed-End Fund Over Poison Pill Provision

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SEC Releases Staff Report on Definition of Accredited Investor

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SEC Issues Updated Fall 2023 Regulatory Agenda

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

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SEC Division of Examinations Releases its 2024 Examination Priorities

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SEC Settles Charges Against Ratings Agencies Relating to Alleged Recordkeeping Failures

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SEC Adopts Amendments to Beneficial Ownership Reporting Rules

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SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

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SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

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SEC Proposes Changes to EDGAR Filer Access and Account Management

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

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

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

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SEC Proposes Amendments to Regulation S-P

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SEC Division of Examinations Releases its 2023 Examination Priorities

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

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ISS Releases Annual Proxy Voting Guideline Updates

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SEC Adopts Amendments to Increase Proxy Voting Transparency

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SEC Adopts Amendments Relating to Shareholder Reports and Investment Company Advertisements

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

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SEC Announces 2022 Examination Priorities

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

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

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SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

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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

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SEC Proposes Amendments to Update Electronic Filing Requirements

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SEC Issues Statement on Funds Investing in Bitcoin Futures

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

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

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Blackstone Receives Order on Novel Exemptive Application under the 1940 Act

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Blackstone Receives Notice on Novel Exemptive Application under the 1940 Act

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