Thomas DeCapo

Thomas DeCapo

Skadden, Arps, Slate, Meagher & Flom LLP

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SEC Proposes Liquidity Management Rules for Open-End and Exchange-Traded Funds

On September 22, 2015, the Securities and Exchange Commission (SEC) voted to propose a new Rule 22e-4 under the Investment Company Act of 1940 (the 1940 Act), as well as amendments to its rules and forms designed to promote...more

10/12/2015 - ETFs Exchange-Traded Products Investment Company Act of 1940 Liquidity Risk Management Rule Mutual Funds Reporting Requirements Rule 22e-4 SEC Swing Pricing

"Corporate Finance Alert: SEC Staff Issues Interpretations on General Solicitation Prohibition"

The staff of the SEC Division of Corporation Finance (Staff) recently issued new Compliance and Disclosure Interpretations (CDIs) and an interpretive letter regarding the general solicitation prohibition in securities...more

8/14/2015 - Administrative Interpretation Angel Investors CDIs Compliance Corporate Issuers Disclosure General Solicitation Interpretive Letters Investment Adviser No-Action Letters Rule 506 Offerings SEC

The SEC Proposes Expanding Reporting Requirements for Investment Companies

On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the information that registered investment companies1 are required to report. The SEC’s...more

7/31/2015 - Compliance Derivatives Financial Statements Form N-Cen Form N-PORT Form N-SAR Investment Companies Investment Funds Investment Portfolios Regulation S-X Reporting Requirements SEC Shareholder Distributions Shareholders

"Disclosure and Collateral Consequences of Enforcement Actions for Regulated Financial Services Firms"

Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission (SEC) or any other financial industry regulator must consider disclosure obligations in the context of the...more

10/2/2014 - Commodities Exchange Act Disclosure Requirements Enforcement Actions Financial Institutions FINRA Investment Advisers Act of 1940 Investment Company Act of 1940 Sanctions SEC Securities Exchange Act Subsidiaries Wells Notice

SEC Releases Long-Awaited Money Market Fund Reform Proposal

On June 5, 2013, the U.S. Securities and Exchange Commission (the SEC) released for public comment its proposal to further reform the regulatory structure governing money market funds and address the perceived systemic risks...more

6/14/2013 - Asset Diversification Disclosure Requirements Liquidity Fees Money Market Funds NAV Reporting Requirements SEC Stress Tests Tax-Exempt Bonds

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