SEC: Rulemaking

This is the SEC's 2013 request for data around the fiduciary duty standard and harmonization of investment adviser and broker-dealer rules.

With the publishing in the Federal Register last week of the SEC's new lost securities rule, it's a good time to take a second look ...

In the first half of this year, the SEC is expected to issue a concept release or a request-for-information to help it craft a proposed ...

Investment advisers will have to reach out to clients who fail to have cashed a check that you sent them, according to one of the ...

This is final rule released by the SEC late in 2012. Although this Exchange Act rule 17AD-17 becomes effective in March 2013, the compliance date ...

This is a final rule released by the SEC late in 2012 to extend the principal trading exception until Dec. 31, 2014.

This is a proposed rule from the SEC in 2012 entitled Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants ...

Its views aren't binding on the SEC but the agency's Investor Advisory Committee agreed to send recommendations to commissioners to toughen investor protections when they ...

This is the SEC's list of firms that must file a new Form ADV or a withdrawal notice via Form ADV-W by Dec. 17, 2012 ...

It looks like the principal trading exception, due to expire this year, will be extended for two more years. A new SECproposal would sunset Advisers ...