July 3, 2024 SCOTUS Holds that Defendants in SEC Enforcement Actions Seeking Civil Penalties are Entitled to Jury Trial June 7, 2024 SEC Adopts Data Privacy Rule Amendments to Regulation S-P June 5, 2024 Fifth Circuit Vacates the Private Fund Advisers Rules in their Entirety June 4, 2024 Seward & Kissel’s Marketing Rule Snapshot Report June 3, 2024 Proxy Vote Reporting: Considerations for Institutional Investment Managers as the Form N-PX Filing Deadline Approaches May 23, 2024 SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies April 16, 2024 SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees May 15, 2024 SEC Charges Investment Adviser with Pay-to-Play Violation, Bringing Political Contributions into Focus During Election Year May 2, 2024 T+1 Settlement Cycle: Implications for Investment Advisers April 29, 2024 CBOE Applies for SEC Approval to List and Trade ETF Share Classes April 18, 2024 Market Moments with David Poppe, Giverny Capital Asset Management April 18, 2024 SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date March 28, 2024 SEC Staff Denies Closed-End Fund’s No-Action Request Seeking to Exclude Shareholder Proposal to Declassify Board March 14, 2024 Seward & Kissel Advises Guinness Atkinson on the Submission of an Application to Offer ETF Share Classes of its Existing Mutual Funds March 8, 2024 SEC Staff Issues No-Action Letter to Closed-End Funds Seeking to Exclude Activist Shareholder Proposals to Declassify Board Load more