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SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities and Proxy Advisory Firms – Investment Management Update
September 05, 2019
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SEC Proposes Updates to Rules Governing CEFs – Investment Management Update
July 18, 2019
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SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers – Investment Management Update
June 18, 2019
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Overview of SEC’s Proposed Rule Changes for Business Development Companies – Investment Management Update
April 17, 2019
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SEC Poised to Permit ActiveShares ETF: First Non-Transparent Actively Managed ETF – ETF Reg Insights
April 11, 2019
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SEC Grants No-Action Relief for Initial Coin Offering – Investment Management Update
April 09, 2019
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SEC Adopts Safe Harbor Rule for Investment Fund Research Reports – Investment Management Update
December 19, 2018
For initial inquiries, please contact:
Richard Heller
Richard.Heller@ThompsonHine.com
212.908.3907
Donald Mendelsohn
Don.Mendelsohn@ThompsonHine.com
513.352.6546
JoAnn Strasser
JoAnn.Strasser@ThompsonHine.com
513.352.6725
Michael Wible
Michael.Wible@ThompsonHine.com
614.469.3297
- SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities,
Investment Management Update
, September 5, 2019 - SEC Proposes Updates to Rules Governing CEFs,
Investment Management Update
, July 18, 2019 - SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers,
Investment Management Update
, June 18, 2019 - Overview of SEC Proposed Rule Changes for Business Development Companies,
Investment Management Update
, April 17, 2019 - SEC Poised to Permit ActiveShares ETF: First Non-Transparent Actively Managed ETF,
ETF Reg Insights
, April 11, 2019 - SEC Grants No-Action Relief for Initial Coin Offering,
Investment Management Update
, April 9, 2019 - SEC Issues No-Action Letter Regarding Fund Board In-Person Voting Requirements,
Investment Management Update
, March 11, 2019 - SEC Proposes New Rule for Fund of Funds Arrangements,
Investment Management Update
, January 7, 2019