Publications Jul 05, 2022 SEC Emphasizes the Critical Importance of the General Standard of Auditor Independence and an Ethical Culture for the Accounting Profession (Registered Funds Regulatory Update) Jul 05, 2022 Chair Gensler Directs SEC Staff to Consider Recommendations for Market Structure Changes Affecting Retail Investors (Registered Funds Regulatory Update) Jul 05, 2022 Fifth Circuit Court of Appeals Vacates SEC Decision Questioning Constitutionality in SEC Procedure (Registered Funds Regulatory Update) Jul 05, 2022 SEC Settles With Adviser for Alleged Short-Selling Restrictions Violations (Registered Funds Regulatory Update) Jul 05, 2022 Adviser and Sub-Adviser Charged With Valuation Failures—Alleged Manipulation of Pricing Vendors’ Valuation of Odd-Lot Bonds (Registered Funds Regulatory Update) Jul 05, 2022 Adviser Charged for Misrepresenting ESG Review Process of Certain Mutual Fund Portfolio Holdings (Registered Funds Regulatory Update) Jul 05, 2022 Too Narrow to Succeed Act Aims to Diversify Asset Management Industry (Registered Funds Regulatory Update) Jul 05, 2022 Senate Confirms Two New SEC Commissioners (Registered Funds Regulatory Update) Jul 05, 2022 FINRA Issues Notice Regarding “Complex” Exchange-Traded Products (Registered Funds Regulatory Update) Jul 05, 2022 SEC’s Crypto Assets and Cyber Unit Nearly Doubles in Size (Registered Funds Regulatory Update) Jul 05, 2022 FINRA Explains Sales Practices Obligations for Alternative Funds (Registered Funds Regulatory Update) Jul 05, 2022 SEC Addresses Investment Adviser MNPI and Code of Ethics Compliance Issues (Registered Funds Regulatory Update) Jul 05, 2022 SEC Announces Spring 2022 Regulatory Agenda (Registered Funds Regulatory Update) Jul 05, 2022 Unclogging the Plumbing—SEC Proposes to Shorten Securities Settlement Cycle to One Business Day (“T+1”) (Registered Funds Regulatory Update) Jul 05, 2022 SEC Requests Comment on Activities of Index Providers, Model Portfolio Providers and Pricing Services (Registered Funds Regulatory Update) Jul 05, 2022 ESG Disclosures for Investment Companies and Investment Advisers (Registered Funds Regulatory Update) Jul 05, 2022 Proposed Amendments to the Funds Names Rule (Rule 35d-1) (Registered Funds Regulatory Update) Jul 01, 2022 Supreme Court: Will Hear Case on Whether SEC Administrative Proceeding Can Be Challenged as Unconstitutional While Administrative Proceeding Is Ongoing (Securities Law Alert) Jul 01, 2022 Second Circuit: No Duty to Disclose Payment for Promotional Articles Where Payor Did Not Have Ultimate Control Over the Articles (Securities Law Alert) Jul 01, 2022 Ninth Circuit: Forum-Selection Clause Does Not Contravene Strong Public Policy Even Where It Forecloses Ability to Bring Section 14(a) Claims (Securities Law Alert) ...41424344454647484950...