United States: SEC Adopts Amendments To Investment Adviser Marketing Rule - Cadwalader, Wickersham & Taft LLP

Mondaq

30 Dec 2020 0 shares 1 views

Mondaq

Published 30 Dec 2020

The SEC adopted amendments under the Advisers Act for the advertising and cash solicitation rules, the books and records rule, and Form ADV.

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United States: SEC Approves NYSE Proposal To Allow Primary Direct Floor Listings - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Dec 2020

The SEC approved a NYSE rule change to provide alternative means - a primary direct listing - for exchange-listed companies to..

Mondaq 17 Dec 2020

The DOL adopted a final rule setting forth the duties of plan fiduciaries as to voting proxies held by the plans.