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SEC: Rulemaking (521)
Your search for SEC: Rulemaking returned 521 results.
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8/15/2019 | Content area: Investment Adviser
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets....
8/06/2019 | Content area: Broker-Dealer
This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March ...
7/11/2019 | Content area: Investment Adviser
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be rev...
7/11/2019 | Content area: Broker-Dealer
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset se...
7/09/2019 | Content area: CPO/CTA
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that would set the minimum mar...
7/09/2019 | Content area: Broker-Dealer | CPO/CTA
The OCC, Board, FDIC, SEC, and CFTC are adopting final rules to amend the regulations implementing the Bank Holding Company Act’s prohibitions and res...
7/05/2019 | Content area: Investment Adviser
Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory ...
6/27/2019 | Content area: Broker-Dealer
A package of rules adopted by the SEC June 21 represents another significant step toward the establishment of the regulatory regime for security-based...
6/27/2019 | Content area: Investment Adviser
Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen o...
6/24/2019 | Content area: Broker-Dealer
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commissi...
6/24/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (“Commission”) is adopting amendments to its auditor independence rules to refocus the analysis that must be co...
6/20/2019 | Content area: Investment Adviser
Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives c...
6/20/2019 | Content area: Investment Adviser
With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedba...
6/13/2019 | Content area: Broker-Dealer
Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s i...
6/13/2019 | Content area: Investment Adviser
Let’s face it—the two-page allotment for your Form CRS disclosures is not a lot of space any way you look at it. Being clear, along with being concise...
6/13/2019 | Content area: Investment Adviser
For the lone dissenter at last week’s SEC open meeting considering the fiduciary duty proposals the issue was simple—in his mind the rules didn’t requ...
6/11/2019 | Content area: Broker-Dealer
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934...
6/06/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of the standard of conduct for investment advis...
6/06/2019 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advi...
6/06/2019 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advi...


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