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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +
A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous thirty days. less -
Allen Barron, Inc.

When is a US Taxpayer Required to Disclose Offshore Accounts on an FBAR and Form 8938

Allen Barron, Inc. on

When is a US Taxpayer required to disclose offshore accounts on an FBAR and IRS Form 8938? While many US taxpayers and expatriates have come to understand the requirements of the FinCEN Form 114 or FBAR, a surprising number...more

Davies Ward Phillips & Vineberg LLP

Federal Budget 2024: How It Impacts You and Your Business

Davies Ward Phillips & Vineberg LLP on

On April 16, 2024 (Budget Day) the Honourable Chrystia Freeland, Deputy Prime Minister of Canada and Minister of Finance, delivered the Liberal Party’s federal budget (Budget 2024). Budget 2024 included a number of proposed...more

Proskauer - Regulatory & Compliance

SEC Approves Exchange Listing Applications for Spot Bitcoin ETPs

Proskauer - Regulatory & Compliance on

On January 10, 2024, the Securities and Exchange Commission (“SEC”) issued an order approving the applications of 11 different spot Bitcoin exchange‑traded products (the “Approved ETPs”) to each list and trade their shares on...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - November 2023

Skadden, Arps, Slate, Meagher & Flom LLP on

...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investment Company Act of 1940 (the Fund Names Rule) as well...more

Dorsey & Whitney LLP

Crypto, Tech and Slow Evolution Forward

Dorsey & Whitney LLP on

Crypto currency continues to be debated - some believe in it; others do not. The decision by the founder of Tesla to exit the market recently seems to have added a new element, however. Now the question is if crypto is energy...more

Goodwin

SEC Adopts New Regulatory Framework For Registered Fund Derivative Investments

Goodwin on

On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more

Eversheds Sutherland (US) LLP

SEC proposes amendments to AFFE and advertisements: What this means for BDCs and the potential for a return to indexes

Eversheds Sutherland (US) LLP on

On August 5, 2020, the Securities and Exchange Commission (SEC) announced proposed modifications (the Proposed Rule) to the disclosure framework for mutual funds and exchange-traded funds (ETFs) registered on Form N-1A...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Shell gets sued over their 401(k) Plan

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

Shell Oil, along with Fidelity is the target of a class action 401(k) lawsuit. As typical with a suit against a large billion-dollar 401(k) plan, plaintiffs allege that Shell failed to use the multi-billion dollar 401(k)...more

K&L Gates LLP

Mutual Fund Pricing and Fair Valuation: 2019 Washington D.C. Investment Management Conference

K&L Gates LLP on

INTRODUCTION - - Valuation procedures are important - Improper valuation can harm the fund and individual shareholders who are purchasing or redeeming fund shares, can also impact fee and performance calculations, and have...more

Kramer Levin Naftalis & Frankel LLP

SEC proposes simplification of derivatives rules for closed-end, other funds

Kramer Levin Naftalis & Frankel LLP on

The SEC voted to propose a rule designed to enhance the regulation of the use of derivatives by registered investment companies, including closed-end funds, as well as mutual funds, ETFs and business development companies....more

Blank Rome LLP

Regulatory Update and Recent SEC Actions - July 2019

Blank Rome LLP on

REGULATORY UPDATES - Investors Continue to Press Regulators for Disclosure of Environmental, Social, and Governance (“ESG”) Risks...more

Goodwin

Financial Services Weekly News: Bank Regulators Simplify Capital Rules

Goodwin on

EDITOR'S NOTE - Working Weekends and Holidays. While most Americans were enjoying the Independence Day holiday weekend, the Board of Governors of the Federal Reserve System (Federal Reserve), the Office of the Comptroller of...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - June 2019

Skadden, Arps, Slate, Meagher & Flom LLP on

In the inaugural issue of Investment Management Update, we summarize regulatory, litigation and industry developments from February 2019 to May 2019 impacting the investment management sector....more

Skadden, Arps, Slate, Meagher & Flom LLP

Inside the Courts – An Update From Skadden Securities Litigators - March 2019

Skadden, Arps, Slate, Meagher & Flom LLP on

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between December 2018 and February 2019....more

A&O Shearman

SEC’s Office of Compliance Inspections and Examinations Announces 2019 Examination Priorities

A&O Shearman on

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued its examination priorities for 2019. In it, OCIE points out that its examination program covers some 13,200...more

Dechert LLP

SEC 2018 Examination Priorities Match Chairman Clayton’s Priorities as Reflected in the Agency’s Budget Request

Dechert LLP on

This year’s examination priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) were announced on February 6, 2018, and cover five broad, albeit...more

Morgan Lewis

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more

Kilpatrick

Effects of the DOL Fiduciary Rule Reach Mutual Fund Industry

Kilpatrick on

The Department of Labor finalized the so-called “Fiduciary Rule” in April 2016 and announced it would go into effect in April 2017. Since the finalization of the Fiduciary Rule, the annuities, brokerage, and advisory...more

Broker-Dealer Compliance + Regulation

Twenty-Three Years Later, One Day Shorter: SEC Proposes T+2 Rule Amendment

Broker-Dealer Compliance + Regulation on

Twenty-three years after adopting Rule 15c6-1 under the Securities Exchange Act of 1934 (“Exchange Act”) to establish T+3 as the standard settlement cycle for broker-dealer transactions, on September 28, 2016, the SEC...more

Carlton Fields

Are You Prepared for Disruption? New regulations, new challenges and opportunities [Expect Focus – Vol. II, July 2016]

Carlton Fields on

- Fed Takes First Steps Toward Setting Capital Requirements for Some Insurers - New Wave of COI Rate Increase Lawsuits Hits the Industry - STOLI Policies Cancelled, Insurers Retain Premium -...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Problem With Providers Using Their Own Funds In Their 401(k) Plan

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

I always say that I come up with many ideas, but most of them are bad. Seriously, there are so many bad ideas out there in the 401(k) space and one of the really bad ideas out there are bundled plan providers using their own,...more

Dechert LLP

Financial Services Quarterly Report - Second Quarter 2016: What Fund Investors Should Know About US Bank Control Rules

Dechert LLP on

Many private equity, hedge and mutual funds constantly have to confront the complex control rules that may impact even the smallest of investments in banks or bank holding companies (BHCs). The issue may be as simple as...more

K&L Gates LLP

Islamic Finance News 2016 Annual Guide

K&L Gates LLP on

A volatile year for Islamic finance – the only way is up? Once again the close of the year has come around more quickly than we ever thought possible, and it is time again for our annual review and outlook of the Islamic...more

Goodwin

SEC Publishes Guidance on Mutual Fund Distribution and Sub-Accounting Fees

Goodwin on

On January 6, 2016, the staff (the “Staff”) of the SEC’s Division of Investment Management published guidance (the “Guidance”) containing the Staff’s views and recommendations relating to mutual fund distribution and...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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