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Viewpoints

Upcoming Events

Investment Management Quarterly Regulatory Update
When: August 1, 2026 to October 31, 2026Today
People: John Hunt, Cameron N. Cosby, Rachael L. Schwartz, Michael D. Davalla, Emily A. Goldschmidt, Bailey Travers and Ida J. Vanto

Past Events

SEC Establishes Retail Fraud Working Group to Combat Fraud Targeting Everyday Investors
When: July 9, 2026
People: David E. Danovitch, Michael T. Dyson and Erika J. Dennery
SEC and CFTC Continue Their Lucrative Pursuits of Penalizing Unapproved Communication Methods
When: August 27, 2024
People: David E. Danovitch, Michael T. Dyson, John Hunt and Erika J. Dennery
Are the SEC’s Private Fund Advisers Rules Now Dead? No, but they are on Life Support
When: June 10, 2024
People: John Hunt and Rachael L. Schwartz
“What? I’m a Dealer?”: New SEC Definitional Rules Add to the Confusion
When: February 27, 2024
People: Meghan Rohan, Michael T. Dyson and John Hunt
USA: Trends & Developments
When: November 2023
People: William C. Hanson, Nicole Rives and Douglas S. Stransky
SEC Division of Examinations Issues Risk Alert on Selection Process of Advisers to Examine
When: October 5, 2023
People: Abigail Bertumen, Johanna Colpritt, John Hunt and Rachael L. Schwartz
SEC Adopts Highly Anticipated Private Funds Rules
When: August 28, 2023
People: John Hunt and Rachael L. Schwartz
Fund Boards: Be Ready to Combat Cyber Risks
When: June 7, 2023
People: Nicole M. Crum
SEC Proposes Amendments to Rule 35d-1 Under the 1940 Act
When: May 26, 2022
People: Rachael L. Schwartz
SEC Adopts New Valuation Rule under the 1940 Act
When: December 14, 2020
People: Rachael L. Schwartz
SEC Proposes Modernized Shareholder Reports and Other Disclosures
When: August 21, 2020
People: Rachael L. Schwartz
Why Investors Should Revisit PE Fund Agreement Terms in the Wake of the Coronavirus
When: May 19, 2020
People: Susan M. Barnard and Nicole Rives