Articles + Publications November 5, 2026

Investment Management Update – Q3 2026

Written by

Joseph V. Del Raso John M. Ford Genna Garver Theodore D. Edwards Terrance James Reilly Joseph T. Cataldo DeJuawn "DJ" Griffin Michael Matthews James L. Severs Meghan E. Termat Taylor M. Williams Barbara H. Grugan

Contacts

John M. Ford Genna Garver Stephanie Pindyck Costantino Christopher A. Rossi Paul A. Steffens

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

  • Risk Alert: Observations Regarding Lost Securityholder Rule Compliance
  • SEC Proposes to Modernize Rules for Registered Transfer Agents
  • SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
  • Examinations Observations Regarding Investment Adviser Annual Compliance Review
  • SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
  • SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds

Litigation and Enforcement

  • SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division

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.

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Performance on Trial: The Construction Manager’s Standard of Care Examined from All Angles

December 2, 2026  |  4:15 PM – 5:30 PM ET
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ACI’s 31st Annual Conference on Drug & Medical Device Litigation – 2026

December 2 – 3, 2026
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Fundamentals of Investment Adviser Regulation 2026

November 19, 2026  |  2:30 PM – 3:30 PM ET
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2026 Advanced eDiscovery Institute

November 19 – 20, 2026
Capital Hilton
1001 16th Street NW, Washington, DC 20036

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