New Rules, Proposed Rules and Guidance
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SEC Adopts Rule Amendments to Implement JOBS Act Provisions for the Elimination of Prohibitions Against General Solicitation in Private Offerings
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SEC Adopts Rule Amendments to Disqualify Felons and Other “Bad Actors” from Rule 506 Private Offerings
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SEC Proposes Additional Amendments to Form D, Regulation D and Rule 156 under the Securities Act
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SEC Proposes Money Market Fund Rule Amendments
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Division of Investment Management Issues Guidance Update Regarding Compliance with Exemptive Orders
Other News
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SEC Commissioner Gallagher Discusses the Need for Proxy Advisory Service Reform
Litigation and Enforcement Actions
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Seventh Circuit Seeks Clarification Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
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Second Circuit Affirms Dismissal of Class Action Against ProShares ETFs
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D.C. Circuit Affirms District Court Ruling on Industry Challenges to CFTC Rule 4.5
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Former Mutual Fund Directors Settle Claims That They Failed to Properly Oversee Asset Valuation
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SEC Settles Charges Against Proxy Adviser for Failure to Safeguard Client Information
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SEC Settles Charges Against Trustees and Service Providers of “Turnkey” Investment Company
To read the Regulatory Update, click the link below.