Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
Webinar Recap: Access to Private Markets for Retail Investors
Hear the latest developments from our recent webinar about individual investors accessing private markets, including through registered and private funds.
June 09, 2025
SEC Extends Compliance Date for Fund Names Rule
The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
March 17, 2025
SEC staff issues Fund Names Rule FAQs covering new 2023 rule amendments.
January 14, 2025
SEC Compliance Outreach Program Scheduled for November 15
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September 22, 2022
Advisers Charged with Valuation, Compliance, Oversight Failures
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June 27, 2022
IAA Files Comment Letter on Proposal to Report Say-on-Pay Proxy Votes
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December 21, 2021
SEC Proposes Money Market Funds Reforms – Again
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December 21, 2021
SEC Risk Alert Spotlights Deficiencies, Good Practices ID’d in RIC Exams
A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 2021
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