SEC: Rulemaking

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...

Options are aimed at improving MMFs resiliency and broader short-term funding markets

The new SEC advertising rule may someday be seen as a case of being careful what you wish for. Private fund advocates and others had ...

A new memo from White House Chief of Staff Ron Klain instructs all agencies not to implement any rulemakings that haven’t already posted to the ...

We generally view a 'pre-existing' relationship as one that the issuer has formed with an offeree prior to the commencement of the offering or, alternatively, ...

Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...

The Trump Administration has made it official and named Republican SEC Commissioner Elad Roisman to serve as acting Chairman. The designation, made late Dec. 28, ...

The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)

Seven things an adviser should not do when it comes to advertising

"Pre-review is the best and most logical way to reduce the risk of advisers’ using advertisements that could mislead clients and prospective clients. However, certain ...