Home SEC: Rulemaking

SEC: Rulemaking

This final rule from the SEC in 2013 would prevent so-called “bad actors” from taking advantage of new freedoms to advertise general solicitations of private ...
With last week's appearance in the Federal Register of the SEC's new proposal affecting money market fund advisers (IA Watch, June 17, 2013), we know ...
Make your way through the 698-page proposal from the SEC on money market fund reforms and you'll come across items sure to please some and ...
You could not have foreseen this outcome only months ago. The five SEC commissioners unanimously agreed to propose reforms for money market fund advisers that ...
This SEC rule is designed to protect against a client's identity being stolen
The new 115-page final rule states that certain investment advisers, investment companies and broker-dealers can fall under Regulation S-ID if they meet the definition of ...
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.
It should be mid-July before the industry finishes responding to the SEC's request for data released March 1. That's when the comment period ends for ...
This is a 2013 SEC filing that raises the civil money penalties amounts.
This is the SEC's 2013 request for data around the fiduciary duty standard and harmonization of investment adviser and broker-dealer rules.
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