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Between November 2017 and November 2021, three individuals actively solicited investments in securities, including providing marketing materials and advising on the merits of the investment, and received commissions for their sales. The SEC halted the activities of the individual defendants…
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On November 2, 2022, the SEC proposed wide-ranging changes to how open-end investment companies (other…
While working out the possible impact of the SEC’s proposal to require central clearing of…
Our previous post explained the SEC’s proposal (the Proposal) to require central clearing of all…
On October 7, 2022, the SEC reopened the comment period for a dozen proposed rules…
On September 14, 2022, the SEC proposed amendments (the Proposal) to regulations for clearing agencies…
In this final post in our series, we consider some of the competing views around…
In this third post in our series, we tackle the U.S. Securities and Exchange Commission…
In part one of our four-part series, we discussed the U.S. Securities and Exchange Commission…
I was looking for something else on the Division of Investment Management’s (Division) website the…
In the first half of 2022, we saw significant U.S. Securities and Exchange Commission (SEC)…
In Andrew Cross and my series on Rule 18f-4, we noted that the SEC was…
Comments on the SEC’s proposed money market fund reforms were due April 11, so it…