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The Name Game: SEC Proposes Expanding Scope of Registered Funds' 'Names Rule' | Morgan Lewis

June 3, 2022

In a 3-1 vote, the US Securities and Exchange Commission on May 25 proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Names Rule) that, if adopted as...

Morgan Lewis European Fund Real Return Fund Exchange Commission On Investment Company Division Of Investment Management

Source: jdsupra.com

How the SEC Can Make Relationship Summaries Useful for Investors

October 21, 2021

Focused enforcement and small changes to the Instructions could go a long way toward empowering investors.

Customer Relationship Summaries Best Interest Registered Investment Advisors Better Job With Enforcement Flexibility It Has Given More Prescriptive

Source: morningstar.com

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More Prescriptive News Today

The Name Game: SEC Proposes Expanding Scope of Registered Funds' 'Names Rule' | Morgan Lewis

How the SEC Can Make Relationship Summaries Useful for Investors

Explore More Categories