Proposed Rules

"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...

The Proposed Rules also would not exclude investment advisers registered under the Advisers Act. A registered investment adviser trading for its own proprietary account, for ...

The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C

This is the SEC's proposal for a cybersecurity rule for investment advisers

This is the SEC's proposed cybersecurity rule directed at registered funds

"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...

The proposed amendments also are designed to collect additional data for the Commission’s use in its regulatory programs, including examinations, investigations and investor protection efforts ...