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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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The ‘40 Act Blog Top 10 of 2023

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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 Adopts Amendments to the Fund “Names Rule”

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SEC Settles Charges With Transfer Agent for Lost Securityholders

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SEC Adopts Money Market Fund Reforms

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

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SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

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

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SEC Charges Adviser and Fund Trustees in First Case Enforcing Liquidity Rule

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SEC Settles Charges Against Investment Adviser for Improper Fixed Income Securities Trading

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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 Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

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SEC Division of Examinations Releases its 2023 Examination Priorities

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SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

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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 Charges Investment Adviser with ESG-Related Policy and Procedure Failures

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SEC Adopts Amendments to Increase Proxy Voting Transparency

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SEC Seeks Special Master in Case Involving NAV Mismarking Scheme

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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 Settles Charges Against Investment Adviser for Failing to Implement Adequate Proxy Voting Policies and Procedures

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Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule

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FASB Issues Accounting Guidance on Fair Value Measurement of Equity Securities Subject to Contractual Sale Restrictions

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SEC Publishes Accounting and Disclosure Information Bulletin Regarding SEC Yield for Funds that Invest in TIPS

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IM Director Birdthistle Speech On Swing Pricing, LIBOR and MiFID/Broker-Dealer IA Relief

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SEC Adopts Amendments to Proxy Voting Advice Rules

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SEC Adopts Rule Amendments Requiring Electronic Filing of Certain Documents and Form Amendments to Modernize Form 13F

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

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SEC Announces 2022 Examination Priorities

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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 Charges Founder of Registered Investment Adviser with Fraud

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SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

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SEC Proposes Rules and Amendments to Enhance Cybersecurity Preparedness of Investment Advisers and Investment Companies

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SEC Chair Gary Gensler Highlights Opportunities to Strengthen Cybersecurity Practices of Investment Companies and Advisers in Speech

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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 Rule to Increase Transparency for Securities Lending Transactions

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SEC Proposes Amendments to Update Electronic Filing Requirements

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SEC Charges Former Executives of Registered Investment Adviser with Fraud

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SEC and CFTC File Civil Complaints Against Fund Sponsor and its Portfolio Managers and Enter into Settlement Agreement with Chief Risk Officer on Related Allegations

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SEC Issues Statement on Funds Investing in Bitcoin Futures

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SEC Publishes New FAQ on Form N-CEN

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

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SEC Publishes New FAQ on Valuation Rule

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SEC Issues Statement on Investment Company Cross Trading Practices Potentially Impacted by the Valuation Rule

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SEC Releases FAQs on New Rules Establishing Updated Regulatory Framework for Fund Valuation Practices

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Mutual Fund Sponsor Receives Approval for First Mutual Fund to ETF Conversion

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SEC Issues Statement on Insurance Product Fund Substitution Applications

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SEC Releases Primer on Money Market Funds and The Repo Market

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Independent Directors Council Submits Comment Letter on Federal Trade Commission’s Proposed Amendments to Premerger Notification Requirements

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SEC Staff Grants No-Action Relief from Section 17(f) of the 1940 Act and Rule 17f-2 Thereunder with Respect to Self-Custody of Loan Interests

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SEC Amends Rules to Facilitate Electronic Submission of Documents

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Pricing Service to Pay $8 Million to Settle SEC Charges

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SEC’s Investment Management Division Issues Guidance on Funds’ Risk Disclosure Regarding Investments in Emerging Markets

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SEC Adopts Rule to Modernize Fund Valuation Practices

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

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

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

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

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SEC Reaches Settlement with Investment Adviser Regarding Recapture of Waived Fees and Reimbursed Expenses from Money Market Funds

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SEC Proposes Modernizations to Fund Shareholder Reports and Disclosures

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Registered Fund Adviser and Affiliate Censured and Fined for Violations of Section 12(d)(1)(A) (Fund of Funds Limitations) and Compliance Rules

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Department of Labor Proposes Rule Affecting ESG Plan Investments

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SEC Extends In-Person Meeting Relief for Fund Boards

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Federal Reserve Announces Updates to Secondary Market Corporate Credit Facility

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SEC Staff Issues No-Action Letter for Funds Participating in TALF 2020

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SEC Charges Three Former Audit Firm Partners for Exam Sharing Misconduct

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SEC Fines Fund Adviser for Overvaluing its Securities and Misleading Performance Disclosures

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SEC Adopts Rule Clarifying Fair Value Determinations

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SEC’s Division of Investment Management Issues Statement on Importance of Delivering Timely and Material Information to Investment Company Investors

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SEC’s Division of Investment Management Issues Information Update on Exemptive Application Hearing Requests

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SEC Staff Grants Temporary Relief to Support Open-End Funds

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SEC Provides Revised Relief to Assist Registered Funds Affected by the Coronavirus

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SEC Staff Grants Temporary Relief to Support Money Market Funds

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Federal Reserve Opens Expanded Money Market Fund Liquidity Facility

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Federal Reserve Creates Money Market Fund Liquidity Facility

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SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names

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SEC Proposes to Modernize Auditor Independence Rules

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The opinions expressed are those of the author(s) and do not necessarily reflect the views of the firm or its clients, or any of its or their respective affiliates. This article is for general information purposes and is not intended to be and should not be taken as legal advice.