Series

SEC Shareholder Communication Rules

The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies. Based on its short 60-day comment period, the SEC may be aiming to adopt the proposal as early as the first quarter of 2021.

Visit this section to stay up-to-date as this process unfolds. Our asset management and investment fund lawyers will post alerts, host webinars, and provide you with other tools to prepare.

Filter
Results

Thought Leadership

20 January 2021

The SEC's Modernized Marketing Rule for Investment Advisers

On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of investment adviser advertising and solicitation practices.

17 February 2021

COVID-19: EEOC Withdraws Proposed Rules on Employer Wellness Incentives, Leaving Uncertain the Permissibility of COVID-19 Vaccination Incentives

The U.S. Equal Employment Opportunity Commission announced last Friday that it was withdrawing two proposed rules regarding the incentives employers can provide their employees as part of a wellness program without violating the Americans with Disabilities Act or Genetic Information Nondiscrimination Act

18 February 2021

Beneficial Ownership Reporting Requirements under the New Corporate Transparency Act – Main Street meets the Feds

The 2021 National Defense Authorization Act (the NDAA) was enacted into law over a presidential veto on 1 January 2021.

15 October 2020

Litigation Minute: Responding to Third Party Subpoenas

In civil litigation, litigants often seek information from third parties by using document subpoenas. In federal court, those subpoenas are governed by Rule 45 of the Federal Rules of Civil Procedure.

Series

SEC Shareholder Communication Rules

Overview

Thought Leadership

Popular On Hub

Email Disclaimer