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New Rules, Proposed Rules and Guidance

  • SEC Proposes Extending Temporary Rule Regarding Adviser Principal Trades
  • SEC Adopts Money Market Fund Rule Amendments
  • SEC Re-Proposes Amendments to Remove References to Credit Ratings from Money Market Fund Rule
  • FinCEN Proposes Anti-Money Laundering Rules
  • Division of Investment Management Issues Guidance Regarding Enhanced Mutual Fund Disclosure
  • SEC Divisions Issue Guidance Regarding Proxy Voting

Other News

  • SEC Commissioner Confirms Cybersecurity as a Board-Level Concern

Litigation and Enforcement Actions

  • District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
  • FINRA Fines Merrill Lynch for Failing to Identify and Apply Mutual Fund Sales Charge Waivers Available for Retirement Accounts and Charitable Organizations
  • SEC Settles Charges Against Hedge Fund Adviser for Conducting Prohibited Transactions and Retaliating Against Whistleblower
  • SEC Settles Charges Against Portfolio Manager for Improperly Benefiting Hedge Fund Client at Expense of U.S. Fund Investors

To read the Regulatory Update, click the link below.