Seward & Kissel LLP

40 Act Blog - 5 new articles

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...

Read the whole entry »


Hedge Fund Adviser Sanctioned for Delivering Audited Financial Statements After the Custody Rule Deadline

The SEC brought an enforcement action against Sands Brothers Asset Management, LLC (SBAM), Steven Sands, Martin Sands and Christopher Kelly failed to...

Read the whole entry »


SEC Division of Investment Manager Director Speaks on Complex Products

Norm Champ, the SEC’s Director of the Division of Investment Management, spoke at the SIFMA Complex Products Forum in New York on specialized...

Read the whole entry »


Marc Wyatt Named Deputy Director of National Exam Program

The SEC appointed Marc Wyatt to be Deputy Director of the agency's Office of Compliance Inspections and Examinations (OCIE). OCIE conducts the SEC's...

Read the whole entry »


Dually Registered Adviser Found to Have Ignored Red Flags of Illicit Insider Trading

The SEC brought an enforcement action against Wells Fargo Advisors, LLC, a dually registered investment adviser and broker-dealer, for failing to...

Read the whole entry »


More Recent Articles

Click here to safely unsubscribe from "40 Act Blog." Click here to view mailing archives, here to change your preferences, or here to subscribePrivacy