SEC: Rulemaking

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 ...

Depending on who you believe, the SEC's proposal to permit advertisements for private fund offerings will either result in market chaos that harms investors or ...

Last week's Federal Register included the SEC's new final rule announcing the agency won't meet the Sept. 30th deadline to define a "municipal advisor" and ...

This is the SEC's proposal rule from 2012 to eliminate the prohibition against general solicitation and general advertising in rule 506 and rule 144A offerings. ...

This is a final rule, released in July 2012 by the SEC and the CFTC that serves Dodd-Frank's desire to regulate derivatives. This rule further ...

This is a final rule, inspired by Dodd-Frank and produced jointly by the CFTC and the SEC to further define “Swap,”“Security-Based Swap,” and “Security-Based Swap ...

Last week the SEC and the CFTC moved a big step forward in honoring their Dodd-Frank obligation to regulate derivatives by defining key terms like ...

The rules further defined the terms ‘‘swap dealer,’’ ‘‘security-based swap dealer,’’ ‘‘major swap participant,’’ ‘‘major security-based swap participant’’ and ‘‘eligible contract participant.’’ Only the rules ...