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New Rules Final Rules Investment Management

DarrowEverett LLP

SEC’s New Rules Give SPACs, Target Companies Much to Consider

DarrowEverett LLP on

On January 24, 2024, the U.S. Securities and Exchange Commission (the “SEC”) adopted new final rules relating to special purpose acquisition companies (“SPACs”). The new rules affect both initial public offerings (“IPOs”) for...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

New, new final rule published?

According to the Office of Management and Budget website, the Labor Department on advised them of its final rule on its proposed advice package, “Improving Investment Advice for Workers & Retirees.” The new fiduciary rule has...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Adopts New Rule for Fund of Fund Arrangements

On October 7, 2020, the Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Final Rule or Rule 12d1-4) under the Investment Company Act of 1940 (1940 Act) in an effort to streamline and enhance the regulatory...more

Troutman Pepper

Investment Management Update - September 2020

Troutman Pepper on

RULEMAKING AND GUIDANCE - SEC Adopts Amendments to Exemptive Applications Procedures - On July 6, 2020, the U. S. Securities and Exchange Commission adopted rule amendments to establish an expedited review procedure...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #20

Regulation Best Interest: Rollover Recommendations and Form CRS/ADV Part 3 Disclosures (Rollovers Part 6) - The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Rule, RIA Interpretation and Solely...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #13

Regulation Best Interest: The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of...more

Vedder Price

SEC Adopts New ETF Rule

Vedder Price on

On September 26, 2019, the Securities and Exchange Commission (the “SEC”) adopted Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”), the long-awaited “ETF Rule.” ETFs that satisfy certain...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #10

Regulation Best Interest: The Focus on Costs (Part 2) - The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the...more

Jones Day

FINRA Advises Member Firms to Submit Questions to the SEC on Regulation Best Interest - FINRA advises broker-dealers about the...

Jones Day on

On August 7, 2019, the Financial Industry Regulatory Authority ("FINRA") issued a Regulatory Notice (the "Notice") intended to advise broker-dealers about the Securities and Exchange Commission's ("SEC") recently adopted...more

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