Final Rule Releases

Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...

This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities

Some commenters also asserted that the proposed amendment to Rule 13d-1(b) raises significant concerns regarding harm to investment advisers and funds and would impose substantial ...

The SEC finalizes this rule that will increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about ...

These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...

The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...

This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023

This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...