SEC Actions

The SEC has turned aside a request from the nation’s largest stock exchanges to hold the Commission’s new market data infrastructure rules but it’s only ...

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

This agenda, published in the March 31 Federal Register, may well become outdated once Gary Gensler formally assumes the chairmanship of the SEC

SEC regulators have issued a new statement underlining requirements and restrictions on the booming special purpose acquisition company industry. In a March 31 statement from ...

The staff is withdrawing staff statements relating to Investment Company Act section 18 and section 12(a) , including staff letters as shown in Appendix A, ...

"These updates will be reflected in the Accounting Matters Bibliography on our website,3 which reflects all positions taken in Dear CFO letters since 1994, including ...

The DOE seeks to remind firms of their obligations under AML rules and regulations and to assist broker-dealers in reviewing and enhancing their AML programs, ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice to require persons involved in Commission administrative proceedings to file and ...

The staff believes an adviser may not cease complying with the previous advertising rule and instead comply with the amended marketing rule but still rely ...

The Commission particularly solicits public comment on whether the rules listed below affect small businesses in new or different ways than when they were first ...