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SEC: Rulemaking (485)
Your search for SEC: Rulemaking returned 485 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...
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...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
1/31/2019 | Content area: Investment Adviser
The Securities and Exchange Commission is adopting amendments to Regulation A under the Securities Act of 1933 (the ‘‘Securities Act’’). Regulation A ...
12/26/2018 | Content area: Broker-Dealer | Private Fund
The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulati...
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...
12/19/2018 | 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: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (“Investment Company Act” o...
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...


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