In This Update

Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended June 30.


Rulemaking and Guidance

  • SEC Issues Third Marketing Rule Risk Alert for Investment Advisers

  • SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

  • The US Securities Market Will Transition to a T+1 Standard Settlement Cycle on May 28


Litigation and Enforcement

  • SEC Charges Five Investment Advisers for Marketing Rule Violations

  • Fifth Circuit Strikes Down Private Fund Adviser Rules


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Troutman Pepper’s Investment Management Group serves a wide range of businesses in the investment management community. Our practice involves three general areas: representation of registered investment companies and registered investment advisers, representation of alternative investment funds and investors in alternative products, and counseling regarding securities regulation, enforcement and litigation. Contact any of our professionals if you have questions about this update or any other investment management issues.

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