Proposed Rules

This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...

The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...

This is the SEC's proposed change to N-PORT reporting rules

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

This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022

This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers

The Commission proposes to amend the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasury securities ...



Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

[W]e are of the view that greater transparency and more robust investor protections could assist investors in evaluating and making investment, voting, and redemption decisions ...