Rulemaking

FinCEN solicits your comments by Oct. 22 on whether its AML rule for advisers should ever see the light of day

The Commission is withdrawing the proposal to reconsider how the proposed rules work in practice with the operational resilience rules of other regulators

"Today’s actions are but one symptom of a much larger problem – the Commission taking shortcuts in order to achieve preferred outcomes .... We are ...

The CFTC amends its regs governing the types of investments that FCMs and DCOs may make with funds held for the benefit of customers engaging ...

In what may be SEC Chairman Gary Gensler's political epitaph, federal judge condemns rules 'untethered from the text, history, and structure'

Among the many things that will be impacted by the results of the upcoming presidential election will be the agenda of the SEC and other ...

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

The CFTC's agenda includes one item, and it's directed at CPOs/CTAs

With all the new regulations emerging from Washington in recent years, you can’t blame some advisers for saying enough already

This is the Advisers Act's books and records rule