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40 Act Blog - 5 new articles


FINRA Seeks Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules

FINRA has issued Regulatory Notice 16-29 (the “Notice”) seeking comment on proposed amendments to FINRA Rule 3220 (Influencing or Rewarding...

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FINRA Proposes Rule Changes Affecting Filing Requirements for Investment Company Advertisements and Sales Literature

FINRA has filed proposed rule changes to FINRA Rule 2210 and FINRA Rule 2214 governing member communications with the public, with the SEC.  The...

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SEC Proposes Rule Requiring Investment Advisers to have Business Continuity and Transition Plans

On June 28, 2016, the SEC released a rule proposal that would require registered investment advisers to adopt and implement written business...

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SEC Issues Updated Guidance on Business Continuity Planning for Registered Investment Companies

In a guidance update issued on June 28, 2016, the staff of the Division of Investment Management (the “Division”) of the Securities and Exchange...

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SEC Chair White Urges Fund Boards to be Proactive Risk Monitors

In a keynote address at the Mutual Fund Directors Forum 2016 Policy Conference, Chair White discussed the evolution of the asset management industry,...

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