Seward & Kissel LLP


40 Act Blog - 5 new articles


Deadline for Mutual Funds to Reaffirm Their CFTC Rule 4.5 Notices

A mutual fund currently relying on Rule 4.5 under the Commodity Exchange Act must reaffirm or withdraw of its existing notice by March 2, 2015. Rule...

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SEC Appoints New Associate Director of OCIE

The SEC named Kevin M. Kelcourse as the Associate Director of the Office of Compliance Inspections and Examinations (OCIE) in Boston, Massachusetts....

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SEC Brings Enforcement Action for a Variety of Compliance Issues

Alan Gavornik, Nicholas Mariniello and Lee Argush, all principals of Concord Equity Group Advisors, LLC (formerly an SEC-registered investment...

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SEC Releases Its 2014 Annual Report

The SEC release its 2014 Annual Report. SEC Chairman Mary Jo White began the report by stating that the SEC brought a record number of enforcement...

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SEC Grants First Non-Transparent ETF Exemptive Order

The SEC approved the first non-transparent actively managed exchange-traded fund to be offered by Eaton Vance. The SEC’s Division of Trading and...

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