SEC: Rulemaking

This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking

The year may only be days old but already the SEC has defied predictions by proposing a new rule. The proposal would drastically revise AUM ...

Rule 30–5(g)(8) will enable the IM director to authorize the issuance of orders under the Advisers Act to grant, deny, and revoke confidential treatment of ...

The IM director wants to update old rules for the modern, digital era, with the custody and recordkeeping rules atop the list

The British American Finance Alliance is calling on governments on both sides of the Atlantic to accelerate regulatory cooperation

BAFA sees priorities as reflecting the three core themes of: trade and market access; technology, and proportionate regulation

The SEC extends the compliance date for amendments to rules around the disclosure of order executions from Dec. 14 to Aug. 1, 2026

This is the SEC's latest regulatory agenda published in September 2025. It removes many of the rules proposed by the prior administration

This SEC statement concerns requests to accelerate the effective date of registration statements filed by issuers with a mandatory arbitration provision for investor claims

"The inherent lack of daily market prices for many private market assets raises the need for the Commission to establish standards for an impartial party ...