In this Issue

New Rules, Proposed Rules, Guidance and Alerts

• SEC Proposes New Fund-of-Funds Rule
• SEC Staff Seeks Industry Engagement on Impact of MiFID II Research Provisions
• OCIE Announces 2019 Exam Priorities
• OCIE Issues Risk Alert on Electronic Messaging
• Division of Trading and Markets Extends AML No-Action Letter Allowing Broker-Dealer to Rely on Investment Advisers

Litigation and Enforcement Actions and Initiatives

• SEC Settles Administrative Proceedings against Two-Robo-Advisers for Allegedly False Disclosures

Download the Regulatory Update below.