SEC: Rulemaking

Talk of this move has bubbled for years and now the SEC - along with the CFTC - are proposing the authority to essentially enforce ...

Industry players are worried that a proposed SEC rule aimed at curbing conflicts of interest in the packaging of asset-backed-securities (ABS) is too vaguely worded ...

This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.

This are final rules released by the CFTC in February 2012 governing data collection rules for commodity pool operators and commodity trading advisers. This amending ...

IA Watch has learned that the SEC has begun sending firms their large trader IDs (IA Watch, Nov. 21, 2011). As predicted, the mailing began ...

This is an SEC final rule adjusting its standard for an accredited investor to fit with Dodd-Frank rule changes. This was released in December 2011.

If you determine your firm to be a large trader under the SEC's new rule, mark Dec. 1 on your calendar. That's your deadline to ...

It's going to take a lot longer to complete new Form PF than the SEC had estimated. This is one of the takeaways from last ...

The final Form PF rule that garnered an unanimous vote by the Commission last week will contain numerous changes from the original proposal (IA Watch, ...

This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...