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April 4, 2024
On March 6, the SEC released its long-anticipated adopting release amending Rule 605. Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, ...
August 10, 2023
In this issue, we cover regulatory developments from the second quarter of 2023 impacting the investment management sector, including the following:…
August 8, 2023
Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to...
May 29, 2023
On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities...
May 19, 2023
On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities by or on...
December 22, 2021
On December 15, 2021, the U.S. Securities and Exchange Commission (the SEC) proposed amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934.
December 21, 2021
At an open meeting yesterday, the SEC voted to propose new rules addressing trading in the market by insiders and companies.
December 21, 2021
This report provides a snapshot of the US Executive Branch priorities via daily schedules and the prior day's press releases.
December 16, 2021
At an open meeting yesterday, the SEC voted to propose new rules addressing trading in the market by insiders and companies. The commissioners voted—unanimously—to propose new rules...