Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
SEC: Rulemaking (493)
Your search for SEC: Rulemaking returned 493 results.
Sorted by Date

5/10/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing a number of actions to address the cross-border application of certain sec...
5/10/2019 | Content area: Broker-Dealer
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to th...
5/03/2019 | Content area: Investment Adviser
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispos...
4/30/2019 | Content area: Broker-Dealer
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS...
4/25/2019 | Content area: Broker-Dealer
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”...
4/18/2019 | Content area: Investment Adviser
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process c...
4/11/2019 | Content area: Investment Adviser
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual...
3/29/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory or...
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...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
SEC commissioners March 20 approved a new proposal that would streamline the registration process for BDCs and other closed-end investment companies. ...
3/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processe...
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
3/18/2019 | Content area: Investment Adviser
modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of funds...
3/08/2019 | Content area: Investment Adviser
You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a new one defining what registered f...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require...
2/28/2019 | Content area: Investment Adviser
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...
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...
2/15/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is proposing rules that would require the application of specific risk mitigation t...


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