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Rulemaking (63)
Your search for Rulemaking returned 63 results.
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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: 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...
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...
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 ...
9/11/2018 | Content area: Investment Adviser | Private Fund
In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until Octo...
7/25/2018 | Content area: Investment Adviser
We are proposing amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registere...
7/05/2018 | Content area: Investment Adviser
Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t of...
7/05/2018 | Content area: Investment Adviser
Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal th...
7/03/2018 | Content area: Investment Adviser
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed...
6/29/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (the “Investment Company Ac...
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
2/22/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for class...
1/11/2018 | Content area: Investment Adviser
SEC officials won’t comment but it looks as if one of the 2018 predictions we’ve shared – that the agency’s transition planning/BCP proposal from 2016...
11/09/2017 | Content area: Investment Adviser
The First Amendment’s been in the news again lately, prompting debate about football players kneeling during the national anthem. One aspect of the am...
2/10/2017 | Content area: Investment Adviser
We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities...
1/26/2017 | Content area: Investment Adviser
Mere hours passed after President Trump was sworn in as the 45th President before he issued a memo to agency heads. The brief memo instructed them to ...
9/21/2016 | Content area: Investment Adviser
I have settled on three topics for today – one regulatory, one supervisory, and one from the enforcement space. The first topic is the SEC’s current ...


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