March 10, 2026
SEC Staff Issues FAQs Regarding Fund-of-Funds Arrangements
March 2, 2026
SEC Staff Issues New Names Rule FAQs
February 26, 2026
Incremental Evolution of the SEC’s Approach to Tokenization and the Use of Digital Assets in Registered Fund Structures
February 25, 2026
FINRA Proposes Amendment to Permit Performance Projections and Targeted Returns in Broker Dealer Communications
February 24, 2026
SEC Proposes Amendments to Form N-PORT and Extends Names Rule Reporting Compliance Dates
February 4, 2026
SEC Guidance on Tokenization
December 30, 2025
The ‘40 Act Blog Top 10 of 2025
December 22, 2025
SEC Issues Combined Notice to 30 Applicants Allowing for ETF Class
December 17, 2025
Supreme Court Hears Oral Arguments on Whether Activist Shareholders of Closed-End Funds Have Private Rights of Action under the Investment Company Act of 1940
December 11, 2025
SEC Director Daly’s Speech Regarding the Division’s Four-Year Workplan
November 24, 2025
SEC Division of Examinations Releases its 2026 Examination Priorities
November 19, 2025
SEC Issues Order for DFA Exemptive Application, Opening the Door to ETF Share Classes
October 27, 2025
Approaching Compliance Dates for Regulation S-P
October 20, 2025
SEC Staff Issues No-Action Letter Addressing the Ability of State Trust Companies to Custody Crypto Assets
October 16, 2025
Seward & Kissel RIA Enforcement Study – FY 2025