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New Rules, Proposed Rules and Guidance

  • SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
  • SEC Proposes Rules to Implement JOBS Act Provisions for Elimination of Prohibitions Against General Solicitation in Private Offerings

Other News

  • IDC Issues White Paper on Board Oversight of Exchange-Traded Funds
  • Professional Organizations Issue Guidance to Audit Committees Regarding Evaluation of External Auditors
  • Mutual Fund Directors Forum Issues Practical Guidance for Fund Directors on Oversight of Proxy Voting
  • PCAOB Adopts Standard on Auditor Communications with Audit Committees
  • PCAOB Issues Guidance on Inspection Process

Litigation and Enforcement Actions

  • Federal Court Vacates and Remands the CFTC's Position Limits Rule
  • SEC Settles Charges Against Adviser for Failing to Disclose Revenue Sharing Payments and Other Conflicts of Interest
  • SEC Charges Former Adviser to NASCAR Mutual Fund with Securities Law Violations

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