James H.R. Windels

Rules and Regulations IRS Finalizes Carried Interest Regulations Industry Update SEC Division of Examinations Statement on Recent and Upcoming Regulation Best Interest Examinations

Rules and RegulationsSEC Modernizes Framework for Registered Fund Valuation PracticesSEC Adopts Modernized Marketing Rule for Investment AdvisersIndustry UpdateOCIE Issues Risk Alert on O...

COVID-19 Update Rules and Regulations SEC Adopts Modernized Marketing Rule for Investment Advisers Industry Update OCIE Issues Risk Alert on Observations from Examinations of I...

Rules and Regulations SEC Simplifies Private Offering Rules Withdrawal of SEC Staff No-Action Letters Related to Rulemaking on Funds of Funds and ETFs Industry Update OCIE Issues Risk ...

Rules and Regulations SEC Simplifies Private Offering Rules   Industry Update OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offic...

Rules and Regulations SEC Adopts Updated Regulatory Framework for Fund of Funds Arrangements SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Bus...

Rules and Regulations SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements Industry Update Dalia Blass Keynote Address at the Investment Company I...

Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise Li...

Rules and Regulations SEC Expands Access to Private Offerings Industry Update OCIE Publishes Risk Alert on Cybersecurity: Safeguarding Client Accounts Against Credential Compromise Li...

Rules and Regulations SEC Modernizes the Accredited Investor Definition SEC Proposes Amendments to Modernize Fund Shareholder Reports and Disclosures Industry Update OCIE Publishes Ris...