Proposed Rules

This is the SEC's proposal for a cybersecurity rule for investment advisers

This is the SEC's proposed cybersecurity rule directed at registered funds

"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...

The proposed amendments also are designed to collect additional data for the Commission’s use in its regulatory programs, including examinations, investigations and investor protection efforts ...

Comments should be received on or before January 3, 2022

Institutional investors and investment advisers generally retain PVABs to assist with voting determinations on behalf of their clients as well as “other aspects of the ...

"We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

“We believe that converting paper submissions to electronic submissions would allow the Commission, and those persons filing the submissions, to more effectively and efficiently navigate ...

ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...

Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...