In This Issue:
Regulatory Updates -
FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling.
Enforcement + Litigation -
Enforcement Division priorities target hedge...more
- ALJ Brokers CoC Enforcement Fines FINRA Hedge Funds ICI Investment Adviser Investment Funds SEC Stock Repurchases Valuation
In a case involving fair valuation of structured notes, the SEC signaled that when investment company fund boards delegate the responsibility to fair value portfolio securities, they must provide “meaningful substantive...more
- Board of Directors Enforcement Fiduciary Duty Investment Adviser SEC Valuation
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