Final Rule Releases

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 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 amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

The SEC adopts amendments to Form N-PX to enhance the information mutual funds, ETFs, and certain other funds report about their proxy votes. This final ...

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

Rule 151(a) currently sets forth the procedural requirements for filing papers with the Commission

The Commission is revising part 190 comprehensively in light of several major changes to the industry over the 37 years since part 190 was first ...

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...