SEC: Rulemaking

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers

Explaining what's behind new SEC rules for mutual fund advisers, reaction to FinCEN's new AML rules for advisers, a PF runs into troubles around expenses ...

The SEC finalizes this rule that adjusts for inflation the dollar threshold used in defining a “qualifying venture capital fund”

The SEC, CFTC, Treasury and other federal agencies are proposing to establish data standards to promote interoperability of financial regulatory data. Comments must be received ...

The SEC will welcome your comments on its latest regulatory agenda until Sept. 14

The SEC amends the form currently used by most variable annuity separate accounts, Form N–4, to require issuers of RILAs to register offerings on that ...

Advocates say Commission should scrap, or give wide private fund carve-outs, in cybersecurity, outsourcing and predictive data analytics proposals

The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers

It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue