Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Rulemaking (226)
Your search for Rulemaking returned 226 results.
Sorted by Date

3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
2/20/2019 | Content area: Investment Adviser | Broker-Dealer
We are proposing a new rule under the Securities Act of 1933 that would permit issuers to engage in oral or written communications with potential inve...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/20/2018 | Content area: CPO/CTA
The comment period closed last week for the CFTC’s October proposal directed at CPO/CTA registration (CPO/CTA Watch, Oct. 11, 2018). Some 30 comments ...
12/20/2018 | Content area: Investment Adviser
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company to d...
12/19/2018 | Content area: Broker-Dealer
Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 (“Exchange Act”), as added by Section 764(a) of Title VII of the Dodd-Frank Wall ...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under th...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing rules that would require the application of specific risk mitigation techn...
12/06/2018 | Content area: CPO/CTA
Better late than never. Three years after the SEC amended its privacy rules eliminating the requirement to send customers an annual notice if nothing ...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing amendments to regulations relating to the trade execution requireme...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to revise its regulations requiring covered persons to provide annual p...
11/29/2018 | Content area: CPO/CTA
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...
11/26/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting amendments (‘‘Final Rule’’) to its margin requirements for uncleared...
11/06/2018 | Content area: CPO/CTA
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register as sw...
11/05/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under th...
10/15/2018 | Content area: Investment Adviser
I believe that the Commission’s implementation of Title VII must allow for robust substituted compliance with broadly comparable foreign requirements....
10/11/2018 | Content area: Investment Adviser
The SEC believes ETFs have matured to where they deserve their own rules rather than a patchwork of hundreds of instances of staff-issued guidance rel...
10/11/2018 | Content area: CPO/CTA
Declare it a smooch from the CFTC. The five commissioners voted unanimously to issue a new proposed rule that falls under the Commission’s Project KIS...
10/09/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) tha...
9/26/2018 | Content area: Investment Adviser
Even the commenters on the SEC’s proposed whistleblower rule revisions seek anonymity (IA Watch, July 5, 2018). Forty percent of the 102 comments the ...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US