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SEC Regulatory Agenda Spring 2023
The SEC continues its breathtaking pace of rulemaking that touches funds, their independent directors, investment advisers, and other service providers. Listen here as Jay Baris, a partner in Sidley’s Investment Funds practice, looks at the
Regulation Best Execution
The SEC proposed rules for best execution of securities trades by broker dealers. In this Mutual Fund Minute, Sidley's Jay Baris talks with fellow partner Hardy Callcott about how the rule would apply to best execution of fixed income secur
SEC Proposes ESG Disclosures for Investment Advisers and Investment Companies
Listen here as Investment Funds partner Jay Baris and Ranah Esmaili, a partner in Sidley's Securities Enforcement and Regulatory practice, discuss the sweeping rules proposed by the SEC that would require funds and investment advisers to di
Artificial Intelligence for Funds and Advisers
Can a chatbot write a fund prospectus? Listen here as Jay Baris and Nathan Greene, partners in Sidley’s Investment Funds group, discuss how funds and investment advisers will use artificial intelligence, and how fund directors and investmen
Investment Companies as Commodity Pools – What Are the Compliance Pitfalls?
Listen here as Jay Baris and Nathan Howell, partners in Sidley’s Investment Funds group, unravel the regulatory mysteries of how mutual funds, ETFs, and registered closed-end funds can invest in commodity futures contracts, subject to the j
Service Providers as Investment Advisers
Tune into Mutual Fund Minute, as Jay Baris, a partner in Sidley’s Investment Funds group, looks at the growing interest in index-based investing by mutual funds and ETFs that has prompted the SEC to ask whether they should regulate index pr
The Role of Mutual Fund Directors
Tune into Mutual Fund Minute here, as Jay Baris, a partner in Sidley’s Investment Funds group, takes a nostalgic look at the long and winding regulatory road of fund board culture, with a reminder that history is always an important guide t
SEC 2023 Examination Priorities
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s Division of Examinations examination priorities for 2023, and what funds and advisers can expect.
The SEC’s Proposed Swing Pricing and Hard Close Rules
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the proposed “swing pricing” and “hard close” requirements and how they would ripple through the world of investment companies and financial intermediaries.
The SEC’s Regulatory Agenda – What’s in Store for Funds and Advisers
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s latest Rulemaking Agenda in 2022 which promises to be a rollercoaster ride for funds, their independent directors, investment advisers, and other se
SEC Revises Fund Shareholder Reports – What That Means for Funds and Investors
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s new mandate for mutual funds and ETFs and looks at the implications for Funds and their investors.
What’s in a Name?
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC proposal to expand the “names rule” to cover investment companies that suggest that they invest in assets that have specific characteristics, such as
