Home Rules & Regulations
Rules & Regulations
This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule
(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...
'Come forward, cooperate and remediate,' top prosecutor says
This is the proposed change to Investment Company Act's books and records rule proposed by the SEC in Nov 2022
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 rule mandating that certain institutional managers report their proxy 'say-on-pay' votes
This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers
This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: