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Investment Adviser › Regulation S-X

Blank Rome LLP

Regulatory Update and Recent SEC Actions - January 2021

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REGULATORY UPDATES - SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising - On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption...more

BCLP

SEC Modernizes Auditor Independence Rules to Focus on Actual Threats to Objectivity

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The Securities and Exchange Commission (the “SEC”) recently adopted final amendments to the auditor independence requirements set forth in Rule 2-01 of Regulation S-X. The SEC stated that the final amendments were based on...more

Wilson Sonsini Goodrich & Rosati

SEC Proposes Amendments to Auditor Independence Framework

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On December 30, 2019, the U.S. Securities and Exchange Commission (SEC) announced that it was proposing several amendments to "codify certain staff consultations and modernize certain aspects of its auditor independence...more

Proskauer - The Capital Commitment

SEC clamps down on Custody Rule

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Under rule 206(4)-2 of the Advisers Act, otherwise known as the Custody Rule, it is a fraudulent practice for a registered investment adviser to have custody of client funds or securities, unless the adviser takes certain...more

Jones Day

SEC Enforcement in Financial Reporting and Disclosure—2018 Year-End Update

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In 2018, the SEC continued to pursue many of the same initiatives and objectives it articulated in 2017, including emphasizing retail investor protections and keeping pace with technological change. While stand-alone...more

McDermott Will & Emery

SEC Adopts Amendments that Simplify and Update Disclosure Requirements

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Last month, the SEC adopted amendments intended to facilitate the disclosure of information to investors, simplify compliance without significantly altering the total mix of information provided to investors, improve...more

Blank Rome LLP

Regulatory Update and Recent SEC Actions

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REGULATORY UPDATES - U.S. Securities and Exchange Commission (“SEC”) Proposes Rule Change to Address Auditor Independence - On May 3, 2018, the SEC proposed to amend its auditor independence rule, Rule 2-01 of...more

Vedder Price

Investment Services Regulatory Update - October 2017

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New Rules, Propsed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Extends No-Action Relief on Auditor Independence and the “Loan Provision” - On September 22, 2017, the staff of the SEC’s...more

Ballard Spahr LLP

Investment Management Update - October 2015

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Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

Carlton Fields

SEC Proposes Major Disclosure Changes for Funds and Advisers

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The SEC recently published two rule proposals to address concerns over the Commission’s ability to gauge and monitor any risks that the asset management industry poses to the financial system and investors. This includes the...more

Dechert LLP

U.S. SEC Approves Proposals to Modernize Reporting Requirements for Registered Investment Companies and Registered Investment...

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The U.S. Securities and Exchange Commission (SEC) today unanimously approved proposals (Proposals) to modernize the reporting of information provided by registered investment companies (funds) and registered investment...more

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