Asset Management ADVocate
Asset Management ADVocate
The Asset Management ADVocate provides unique analysis and insight into legal developments affecting asset managers in the United States.
April 7, 2020
A Negative Sign of the Times: Form N-MFP Can Report Negative Yields
April 7, 2020
SEC Staff Publishes Risk Alerts Regarding Reg BI and Form CRS Inspections and Possible COVID-19 Impact
April 6, 2020
SEC Grants Mutual Funds Short-Term Borrowing/Lending Relief in Response to COVID-19
April 6, 2020
SEC Provides No-Action Relief Extending Rule 17a-9 to Non-Money Market Funds
April 2, 2020
SEC Staff Provide No-Action Relief Relating to Broker-Dealer Net Capital Requirements
On March 30, 2020, the Securities and Exchange Commission ("SEC") Division of Trading and Markets ("Division") issued a No-Action Letter relating to market practices regarding bank sweep programs requested by the Securities Industry and Financial Marke
April 2, 2020
Update on SEC’s New Relief for Form ADV and Form PF Filing and Delivery Obligations
March 31, 2020
SEC Provides Additional Regulatory Relief in Wake of COVID-19
March 27, 2020
Navigating Mutual Funds in Rough Markets—Valuation
In our previous post, we reviewed how the financial markets' reaction to the COVID-19 pandemic requires mutual funds to review, and possibly reclassify, the liquidity of their investments.
March 26, 2020
Navigating Mutual Funds in Rough Markets—Liquidity
March 25, 2020
The SEC Stays Busy: CAT Relief in Response to COVID-19 Pandemic, CAT Cybersecurity Relief for SROs, and Enforcement Has Its Eye on Insider Trading
March 23, 2020
Another Update on Money Market Mutual Fund Liquidity Facility
March 23, 2020
Understanding Circuit Breakers, Our New Reality, in the Time of COVID-19
March 20, 2020
Update on Money Market Mutual Fund Liquidity Facility & Related No-Action Letter
March 19, 2020
Information on the Prime and Tax Exempt Money Market Fund Liquidity Facility (Updated 3/23)
March 17, 2020