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SEC: Rulemaking

Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
The proposal would expand the list of entities that may qualify as accredited investors
We are also proposing to clarify that an investment company or an investment adviser or sponsor is under an audit, the auditor and the audit ...
IM Director reviews year, looks ahead
The proposal would keep the current financial tests for establishing who is an accredited investor but also would add new categories
These rules cover reconciling outstanding security-based swaps with applicable counterparties on a periodic basis
The SEC is enhancing the effectiveness and the efficiency of security-based swap rules in the cross-border context
The Commission is adopting a recordkeeping program for SBSDs and MSBSPs
“There’ll be a lot more ads to approve” if the proposal is finalized
SEC proposes changing the advertising rule for the first time in decades
Proxy Voting
The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
The SEC specifically notes that these new duties wouldn’t “supplant or by itself satisfy” an IA’s fiduciary duty
Any final rule would replace decades worth of SEC guidance
The 2020 will cover a broad array of topics
Chairman looks back and ahead at his regulatory agenda
Proposed rule's regulatory language regarding testimonials
Rule clarifies proprietary trading and ownership of hedge or private equity funds
Rulemaking recommendation on new disclosure framework for variable products coming
Proposal would rename old rule, keep some elements and change others

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