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Final Rule Releases

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The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...
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The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...
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This is the Department of Labor's 2022 final rule providing a green light for ERISA investment managers to invest in ESG securities
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The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...
The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants
This final rule rescinds certain guidance that the Commission issued to investment advisers about their proxy voting obligations
We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...
The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

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