SEC: Rulemaking

The changes, which will go into effect six months after the final rule appears in the Federal Register, or Jan. 3, 2023 for the Form ...

"In a digital age, it is important for filers to have easy, online methods to submit information to the Commission"

The SEC adopts rules to convert the filing of certain applications, confidential treatment requests, and forms from paper to electronic submission

The IAA suggested the public company rule should be finalized before the ESG proposal for advisers

SEC looking to determine whether index providers, model portfolio providers, and pricing services are acting as IAs under the Advisers Act

"We can avoid creating regulatory rip currents by recalibrating our agenda to focus on issues core to the protection of investors and operation of our ...

Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses

"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...

"The growing prominence of information providers in the industry adds import to our consideration of whether and how the framework for registering and regulating investment ...