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SEC: Rulemaking (470)
Your search for SEC: Rulemaking returned 470 results.
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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...
12/06/2018 | Content area: Investment Adviser
Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on prop...
12/06/2018 | Content area: Investment Adviser
The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of m...
11/29/2018 | Content area: Investment Adviser
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed las...
11/15/2018 | Content area: Investment Adviser
The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last Apr...
11/13/2018 | Content area: Broker-Dealer
This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018.
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
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...
11/01/2018 | Content area: Investment Adviser
Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach...
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....
10/12/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission”) is reopening the comment period and requesting additional comment (including potential modificat...
10/11/2018 | Content area: Broker-Dealer
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal governing ca...
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: Investment Adviser
SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s propos...
10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
10/04/2018 | Content area: Investment Adviser
I believe that the Commission needs to articulate clear rules and provide its own guidance rather than relying on subsequent staff no-action letters o...


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