Act

This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule

This is the SEC's proposed revised liquidity risk management rule from November 2022

This is the SEC's recordkeeping rule tied to good faith fund valuations

This rule gives investment advisers broad fund valuation duties as 'valuation designees'

This is the SEC's derivatives rule approved in 2020

(a) Burden on interstate commerce; trading or position limits (1) In general Excessive speculation in any commodity under contracts of sale of such commodity for ...

(a) The Commission may specify by rules and regulations appropriate standards with respect to training, experience, and such other qualifications as the Commission finds necessary ...

(1) In determining the amount of the money penalty assessed under section 9 of this title, the Commission shall consider the appropriateness of such penalty ...

(a) Action to enjoin or restrain violations Whenever it shall appear to the Commission that any registered entity or other person has engaged, is engaging, ...

(a) The Commission shall establish and maintain, as part of its ongoing operations, research and information programs to (1) determine the feasibility of trading by ...