Paul Schreiber

SEC's Division Of Examinations Issues Risk Alert Regarding MNPI-Related Compliance Issues For Investment Advisers

SEC Emergency Order Bolsters Fund Liquidity By Expanding Ability To Borrow From Affiliates, Enter Into Interfund Lending Facilities (Even Without An Order)

SEC Modifies Form N-PORT Filing Timeline

SEC Replaces Requirement To Disclose Liquidity Buckets With Requirement To Disclose Effectiveness Of Liquidity Risk Management Program

New SEC Staff Guidance Broadens The Applicability Of 1940 Act Exemption For Mortgage Securitizers

SEC Proposes New Derivatives Rules For Registered Funds

Significant SEC Rulemaking To Address Liquidity Of Mutual Fund Portfolios

Financial Crimes Enforcement Network: Anti-Money Laundering Program And Suspicious Activity Report Filing Requirements For Registered Investment Advisers

SEC Issues Proposed Investment Company Reporting Rules

CFTC Adopts Harmonization Rules For CPOs Of Registered Investment Companies