Topics

New Rules, Proposed Rules and Guidance

• SEC Extends Temporary Rule Regarding Adviser Principal Trades
• Division of Investment Management Issues Guidance Regarding Mixed and Shared Funding Orders
• Division of Investment Management Issues Guidance on the Presentation of Consolidated Financial Statements

Other News

• SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk
• Director of the Division of Investment Management Discusses Alternative Mutual Fund Disclosures

Litigation and Enforcement Actions

• SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising
• SEC Charges Investment Advisory Firm and Top Officials with Custody Rule Violations

To read the Regulatory Update, click the link below.