James H.R. Windels

Rules and Regulations SEC Investment Management Division Issues FAQs for Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation Litigation SEC Settles wit...

Rules and Regulations SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers FDIC and OCC Approve Final Amendments to Volcker Rule Regulations SEC Staff ...

Rules and Regulations SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers FDIC and OCC Approve Final Amendments to Volcker Rule Regulations. SEC Expands ?...

Rules and Regulations SEC Staff Grants No-Action Relief Allowing Employee Securities Companies Exempt from Registration to Continue Operating without Registration Following a Transfer o...

Rules and RegulationsSEC Clarifies Investment Advisers’ Proxy Voting ResponsibilitiesIndustry UpdateJay Clayton Speech – Regulation Best Interest and the Investment Adviser Fiduciary ...

Rules and Regulations SEC Staff Grants No-Action Relief Extending Existing Exemptive Relief under Section 15(a) of the Investment Company Act to Affiliated Sub-Advisers SEC Staff Grants ...

Rules and Regulations SEC Adopts Amendments to the Auditor Independence Rules Davis Polk Publishes Visual Memorandum Related to Regulation Best Interest and Related Interpretations Indu...

Rules and Regulations SEC Grants Exemptive Relief for Non-Transparent Active ETFs SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Advi...

Rules and Regulations SEC Adopts Regulation Best Interest, Form CRS and Interpretive Releases Related to an Investment Adviser’s Fiduciary Duty and the “Solely Incidental” Prong o...

Rules and Regulations SEC Staff Grants No-Action Relief Allowing Community Capital Management to Serve as Investment Adviser for a Period of Time Without a Majority Vote Industry Update...