On November 30, 2018, the Securities and Exchange Commission (SEC) adopted a new rule under the Securities Act of 1933 (Securities Act), Rule 139b, to extend the current safe harbor under Rule 139 to a “covered investment fund research report.” The ...

Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Adopts FAIR Act Rules Promoting Research Reports on Investment Funds

On November 30, 2018, the Securities and Exchange Commission (SEC) adopted a new rule under the Securities Act of 1933 (Securities Act), Rule 139b,...

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SEC’s Division of Investment Management Updates FAQs on Fund Reporting

On November 14, 2018, the SEC’s Division of Investment Management staff updated the SEC’s FAQs on fund reporting rules to address certain issues...

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SEC’s Office of Compliance Inspections and Examinations Issues Risk Alert Announcing Examination Initiatives Focused on Registered Investment Companies

On November 8, 2018, the staff of the SEC’s Office of Compliance Inspections and Examinations issued a Risk Alert indicating that it is conducting...

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SEC Staff Issues Risk Alert Regarding Investment Adviser Compliance Issues Related to the Cash Solicitation Rule

On October 31, 2018, the SEC’s Office of Compliance Inspections and Examinations (OCIE) staff issued a Risk Alert regarding Rule 206(4)-3 under the...

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SEC Director of Investment Management Dalia Blass Delivers Keynote Address at the ICI Securities Law Developments Conference

On October 25, 2018, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Investment...

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