SEC: Rulemaking

Another holdover from the financial crisis was dealt with last week by the SEC when commissioners unanimously approved Securities Act proposed rule 127B

Last week the SEC announced that it has set up a website to accept public comments about the agency's review of its rules and regulations. ...

Firms that issue asset-backed securities and use derivatives will want to be on the lookout for two invitations from the SEC to share their thoughts ...

Only months after you've revamped your Form ADV, Part 2 plain-English brochure, you'll be tackling a generously modified version of Form ADV, Part I when ...

Last week SEC commissioners reacted to the flash crash of May 6, 2010 by unanimously approving a final rule that requires large traders - including ...

This is an SEC final rule released in July 2011 to foist new reporting requirements on large traders in response to the 2010 “flash crash.”

The comments are in on the SEC's proposed rule from May on punishing securities offerings that include so-called “bad actors” or felons. Several of the ...

This is the main SEC rule affecting investment advisers due to the Dodd-Frank reform law. This was passed in June 2011 and appeared in the ...

In May, the SEC signaled it would exercise its Dodd-Frank authority to hike AUM and net worth thresholds for when advisers can charge performance-based fees ...

This is an SEC proposal, prompted by Dodd-Frank, related to business conduct standards for security-based swap dealers and major security-based swap participants.