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In this Issue


New Rules, Proposed Rules, Guidance and Alerts

  • SEC Adopts Interim Final Rule Amending Timing Requirements for Filing Reports on Form N-PORT
  • SEC Proposes Extending Ability to “Test the Waters” Prior to Registered Public Offerings
  • SEC Staff Seeks Comment on the Application of the Custody Rule to Digital Assets and Issues Associated with Trades That Do Not Settle on a Delivery Versus Payment Basis
  • SEC Staff No-Action Letter Provides Fund Boards Relief from Certain In-Person Voting Requirements
  • OCIE Issues Risk Alert on Transfer Agent Safeguarding of Funds and Securities
  • FINRA Interpretive Letter Provides Guidance on the Use of Pre-Inception Index Performance Data for Mutual Funds


Litigation and Enforcement Actions and Initiatives

  • SEC Announces Settlements from Share Class Selection Disclosure Initiative
  • U.S. District Court Rules for Defendants in BlackRock Section 36(b) Excessive Fee Case


Download the Regulatory Update below.

Investment Services Regulatory Update - March 2019


John S. Marten


Jacob C. Tiedt