On April 21, 2020, the Securities and Exchange Commission (SEC) issued a proposal (the proposing release) to adopt Rule 2a-5 (the proposed rule) under the Investment Company Act of 1940, as amended (the Act), addressing good...more
On November 25, 2019, the Securities and Exchange Commission (SEC) re-proposed Rule 18f-4 (“Rule 18f-4”) under the Investment Company Act of 1940, as amended (“1940 Act”). Rule 18f-4, if adopted, would alter the SEC’s...more
12/16/2019
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Derivatives ,
ETFs ,
Investment Advisers Act of 1940 ,
Policies and Procedures ,
Proposed Rules ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)