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Capital Markets

28 January 2020
Susan I Gault-Brown 2019 SEC regulatory summary: advisers and funds

USA - Morrison & Foerster LLP

To mark the new year, registered investment advisers and funds should take a look back at the activity undertaken by the Securities and Exchange Commission (SEC) and its staff during 2019 and carefully consider steps to be taken to implement new and amended regulations adopted by the SEC throughout the year. The start of a new year is also a good time to evaluate what remains on the SEC's regulatory agenda.

Authors: Susan I Gault-Brown, Kelley Howes
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