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 Extends Effective and Compliance Dates for Amendments to Investment Company Reporting Requirements
  • SEC Withdraws 14 Rule Proposals
  • FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
  • FINRA Requests Comment on a Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities

SEC and SRO News

  • Paul S. Atkins Sworn in as SEC Chairman
  • Impact of SEC Buyouts on Key Divisions
  • Natasha Vij Greiner to Conclude Her Tenure as SEC Director of Investment Management
  • Brian Daly Named Director of Division of Investment Management

Click here to read this issue.

Troutman Pepper Locke’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.

Insight Industries + Practices