Nathan Wolfe

Nathan Wolfe

Kramer Levin Naftalis & Frankel LLP

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SEC Proposes Rules to Address Conflicts of Interest in the Use of AI by Investment Advisers and Broker-Dealers

On July 26, 2023, the Securities and Exchange Commission (SEC or the Commission) announced proposed rules (the proposal) under the Securities Exchange Act of 1934 (the Exchange Act) and the Investment Advisers Act of 1940...more

8/8/2023  /  Investment Adviser , Investment Advisers Act of 1940 , Policies and Procedures , Proposed Rules , Securities and Exchange Commission (SEC)

SEC Adopts Amendments to Money Market Fund Rules

On July 12, the Securities and Exchange Commission (Commission) adopted amendments to Rule 2a-7 governing money market funds under the Investment Company Act of 1940 (1940 Act). ...more

7/17/2023  /  Investment Adviser , Investment Company Act of 1940 , Investment Portfolios , Liquidity , Liquidity Fees , Money Market Funds , Private Funds , Redemption Gates , Securities and Exchange Commission (SEC) , Securities Regulation
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