Rules & Regulations

This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022

This is the SEC rule mandating that certain institutional managers report their proxy 'say-on-pay' votes

This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers

This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...

This Advisers Act rule addresses the delivery of Form ADV

This is the Advisers Act rule requiring delivery of Form CRS

Timelier reporting would also allow other market participants, such as analysts and investment advisers, to better value the securities and make better recommendations

The industry is staring down a portentous, menacing road of new regulations.

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C