July 22, 2026
–Client Alert
Upcoming Events
SEC Proposes New Regulation E-Delivery
When: July 22, 2026Today
People: John Hunt, Rachael L. Schwartz and Michael D. Davalla
Past Events
If Adopted, Proposed SEC Rules Should Make it Easier for More Closed-End Funds and BDCs to Register and Offer their Securities
When: May 28, 2026
People: John Hunt and Michael D. Davalla
The End of the Road for the SEC’s Administrative Order “No-Deny” Rule
When: May 26, 2026
People: John Hunt and Bailey Travers
SEC Broadens Closed-End Fund/BDC Co-Investment Relief to Open-End Funds
When: May 1, 2026
People: John Hunt and Michael D. Davalla
Rolling Back Private Fund Reporting: Proposed Amendments to Form PF
When: April 29, 2026
People: John Hunt and Bailey Travers
Misleading Social Media Posts Can Cost You $500,000 in Massachusetts
When: April 2, 2026
People: John Hunt and Bailey Travers
Happy Days Are Here Again? Not So Fast. Why Investment Advisers Should Maintain Strong Compliance Despite Shifting SEC Enforcement Priorities
When: March 17, 2026
People: Stephanie Monaco
SEC Proposes Amendments to Small Entity Definitions
When: January 20, 2026
People: Rachael L. Schwartz and Ayomide Omobo
2025 Form ADV Annual Amendment Season: Lessons and Suggestions from the 2024 Enforcement Frenzy
When: March 11, 2025
People: Stephanie Monaco
As 2024 Closes Out, It's Time to Prepare for Names Rule Compliance
When: October 15, 2024
People: Rachael L. Schwartz
What the SEC Liquidity Risk Management Amendments Entail
When: September 20, 2024
People: Rachael L. Schwartz
SEC Adopts Amendments to Form N-PORT and Form N-CEN Reporting Relating to Liquidity Risk Management; Issues Guidance on Open-End Fund Liquidity Risk Management Programs
When: September 3, 2024
People: Rachael L. Schwartz
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
2024 Investment Adviser Regulatory and Compliance Annual Letter
When: January 29, 2024
People: John Hunt
New SEC rules for private fund managers: implications for offshore investment advisers
When: February 2024
People: John Hunt
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 Amendments to the Investment Company Names Rule (Rule 35d-1)
When: September 27, 2023
People: Rachael L. Schwartz, John Hunt and Domenick Pugliese
Private Equity Strategies Using Interval Funds, Tender-Offer Funds and ELTIFs 2.0
When: October 2023
People: John Hunt
SEC Adopts Highly Anticipated Private Funds Rules
When: August 28, 2023
People: John Hunt and Rachael L. Schwartz
SEC’s Proposed Changes to Regulation S-P Would Overhaul Records and Information Requirements of Covered Institutions
When: March 20, 2023
People: Michael T. Dyson, Meghan Rohan and David E. Danovitch
SEC Proposes New Rule Requiring Investment Adviser Oversight of Certain Third Party Service Providers
When: October 31, 2022
People: Rachael L. Schwartz
SEC Adopts Modernized Disclosure Framework for Shareholder Reports
When: October 28, 2022
People: Rachael L. Schwartz
SEC Proposes Enhanced Disclosures by Investment Advisers and Investment Companies About ESG Investment Practices
When: June 6, 2022
People: Rachael L. Schwartz
SEC Proposes Amendments to Rule 35d-1 Under the 1940 Act
When: May 26, 2022
People: Rachael L. Schwartz
SEC Proposes New Rules to Encourage Private Fund Transparency and Address Certain Conflicts of Interest
When: February 25, 2022
People: John Hunt and John H. Riley
SEC Proposes New Cybersecurity Rule under the 1940 Act
When: February 10, 2022
People: Rachael L. Schwartz
A Look at 2022: What Fund Boards Can Expect This Year
When: January 4, 2022
People: Rachael L. Schwartz
SEC Adopts New Valuation Rule under the 1940 Act
When: December 14, 2020
People: Rachael L. Schwartz
SEC Adopts Comprehensive Funds of Funds Rule
When: October 19, 2020
People: Domenick Pugliese
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