Commentary by Steven Lofchie
The SEC final rule to establish security-based swap capital, margin and segregation requirements was published in the Federal Register.
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Commentary by Steven Lofchie
The Cabinet offers a collection of pages on regulatory requirements applicable to investment advisers and investment funds.
OFAC designated a China-based drug trafficking organization and two drug kingpins under the Foreign Narcotics Kingpin Designation Act.
By a three-to-two vote, the SEC approved (i) guidance on investment advisers' responsibilities in proxy voting and (ii) an interpretation of rules concerning solicitation of proxies.
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an open-end management investment company from transactions that involve certain securities.