Latest Developments: Funds

Final Rules

• SEC Adopts Major Changes to Shareholder Reports and Amendments to Investment Company Advertising Rules
• SEC Adopts Rules to Enhance Proxy Voting Disclosure by Funds and Require Disclosure on “Say-on-Pay” Votes for Institutional Investment Managers

Proposed Rules

• SEC Proposes Swing Pricing and Changes to Liquidity Risk Management

Latest Developments: Advisers

• SEC Proposes New Requirements for Adviser Oversight of Service Providers
• SEC Risk Alert Highlights Weaknesses in Identity Theft Prevention Programs
• SEC Staff FAQ Relating to Adviser Consideration of DEI Factors
• DOL Issues Final ESG Investing and Proxy Voting Rules

Litigation and Enforcement Actions

• SEC Announces Enforcement Results for Fiscal Year 2022

Compliance Dates for Final Rules