Speaking Engagements
Connecting the Dots: From Custodian Interview to the Review Platform
December 11, 2025 | 12:00 PM – 1:00 PM ET
In This Update
Covering legal developments and regulatory news for funds, their advisers, and industry participants for the quarter ended September 30.
Rulemaking and Guidance
- SEC and CFTC Extend Form PF Compliance Date to October 1, 2026
- FINRA Requests Comment on Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
- FINRA Adopts Exemption From FINRA Rules 5130 and 5131 for Business Development Companies
- FINRA Reminds Members and Associated Persons, Wherever Located, of Their Obligation to Comply With Rule 8210
- SEC OKs Dual Classes of Shares for Mutual Funds and Exchange Traded Funds (ETF)
SEC and SRO News
- SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
- SEC Names James Moloney as Director of the Division of Corporation Finance
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 advisors, 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.
Resources
Insight Industries + Practices
This just in
Firm Events
Artificial Intelligence Legal Update: Bringing Order to the Chaos
December 10, 2025 | 12:00 PM – 1:00 PM ET
ON24
Speaking Engagements
Navigating the Current Distressed CMBS Market: Strategies for Lenders; Opportunities and Challenges
December 9, 2025 | 1:00 PM – 2:30 PM ET
Webinar
Speaking Engagements
CompensationStandards.com Webcast – Equity Award Approvals: From Governance to Disclosure
December 3, 2025 | 2:00 PM – 3:00 PM ET
Virtual