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FUNDamentals — June 2025

FUNDamentals is a periodic digest of news and information specifically for private funds and their managers. In this issue, we highlight some fundraising trends, new marketing rule FAQs, fund liquidity trends (limited...more

Investment Management Update - Q1 2025

Explore the latest legal developments and regulatory updates impacting funds, advisers, and industry participants, including SEC rule amendments, compliance extensions, and guidance on accredited investor verification....more

FUNDamentals Market Update – What’s Happening In Today’s Market?

“The most recent development in the registered investment funds space has been the long-awaited movement toward the SEC granting dual share class ETF exemptive relief. This will be a significant catalyst for growth in...more

Exploring the Administration's Regulatory Impact on Private Equity — PE Pathways Podcast [Audio]

In this episode of PE Pathways, Troutman Pepper Locke Partners Thao Le, John Ford, and John Falco discuss the potential regulatory impacts of the Trump administration on the private equity industry. The conversation covers...more

Investment Management Update - Q3 2024

On August 28, the U.S. Securities and Exchange Commission (SEC) adopted amendments to certain registered investment companies (funds) reporting requirements. The SEC originally proposed the amendments on November 2, 2022....more

Investment Management Update - Q2 2024

This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30. Rulemaking and Guidance: • SEC Issues Third Marketing Rule Risk Alert for...more

SEC Approves Spot Ether ETFs

On July 22, 2024, the Securities and Exchange Commission (SEC) declared nine registration statements effective under the Securities Act of 1933 for spot Ether ETFs, clearing the way for the ETFs to begin trading on July 23....more

Investment Management Update - Q1 2024

This update covers legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31. Rulemaking and Guidance: • SEC Adopts Reforms Relating to Investment Advisers...more

SEC Releases New Guidance on Tailored Shareholder Reports

On January 19, 2024, the Division of Investment Management staff at the Securities and Exchange Commission (SEC), released several responses to frequently asked questions (FAQs) related to the adoption of rules and form...more

The SEC's New Marketing Rule - Practically Speaking: General Prohibitions

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

The SEC's New Marketing Rule - Practically Speaking: Hypothetical Performance

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

The SEC's New Marketing Rule - Practically Speaking: Performance Advertising/Track Records

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

The SEC’s New Marketing Rule - Practically Speaking: What Is an Advertisement?

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

The SEC's New Marketing Rule - Practically Speaking: Testimonials and Endorsements

In December 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended. Those finalized amendments merged the...more

SEC Adopts Modernized Framework for Open-End Fund Shareholder Reports and Disclosures

On October 26, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the existing disclosure framework for open-end funds (e.g., mutual funds and exchange-traded funds) intended to represent a comprehensive...more

SEC Proposes Fund Names Rule Amendments and Rules Governing ESG Investment Disclosures

In two separate May 25 releases, the U.S. Securities and Exchange Commission (SEC) proposed amendments to (1) Rule 35d-1 (the Names Rule) under the Investment Company Act of 1940 (Investment Company Act) and (2) rules and...more

Investment Management Update - June 2022

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended March 31, 2022. ...more

Investment Management Update - February 2022

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the period July 2021 through December 2021. ...more

Investment Management Update - August 2021

Covering legal developments and regulatory news for funds, their advisers, and industry participants through June 2021. ...more

Investment Management Update - June 2021

The Office of the Chief Accountant of the SEC’s Division of Investment Management periodically issues “Dear Chief Financial Officer” letters to help registered investment companies, business development companies (BDCs), and...more

Investment Management Update - March 2021

Just before we said goodbye to 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC...more

SEC Adopts Modernized Framework for Fund Valuation Practices

On December 3, the SEC unanimously adopted new Rule 2a-5 (the Rule) under the Investment Company Act of 1940, as amended (the 1940 Act) to update the existing valuation framework for registered investment companies and...more

Investment Management Update - November 2020

Covering legal developments and regulatory news for funds, their advisers and industry participants through October of 2020. ...more

SEC Proposes Finders Exemption

At the October 7, 2020 open meeting of the Securities and Exchange Commission (SEC), Chairman Jay Clayton announced that the Staff of the Commission proposed to grant exemptive relief, permitting natural persons to engage in...more

Investment Management Update - September 2020

RULEMAKING AND GUIDANCE - SEC Adopts Amendments to Exemptive Applications Procedures - On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more

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