Topics

New Rules, Proposed Rules and Guidance

• SEC Extends Temporary Rule Regarding Adviser Principal Trades

Other News

• SEC Staff Releases 2015 Examination Priorities
• ICI and IDC Issue White Paper on Funds' Use of Proxy Advisory Firms
• SEC Chair and FSOC Comment on Asset Management Regulation and Systemic Risk

Litigation and Enforcement Actions

• SEC Settles with Investment Advisory Firm over Claims of False Performance Advertising

Derivatives Markets

• SEC Adopts Rules Regarding Security-Based Swap Data Repositories
• Relief for Commercial End-Users and Financial Cooperatives from Margin Requirements for Non-Cleared Swaps
• CFTC Considering Clearing Mandate for Foreign Exchange Non-Deliverable Forwards

To read the Regulatory Update, click the link below.