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SEC: Rulemaking (365)
Your search for SEC: Rulemaking returned 365 results.
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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...
4/18/2019 | 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...
3/21/2019 | 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...
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 ...
12/20/2018 | 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: 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...
12/06/2018 | 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...


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