Home SEC: Rulemaking

SEC: Rulemaking

The SEC's rule that requires firms to place controls on their clients' access to the markets is staying largely on schedule, but the Commission recently ...
The delay to next year for the registration of large private fund advisers and the shift to state registration by mid-sized advisers are the most ...
Now that those three RIA rules have been finalized (IA Watch, June 27, 2011), expect the SEC to move on to other topics, including reform ...
This is a proposed rule from the SEC in 2011 dealing with custody. It would require broker-dealers to file a new Form Custody. This is ...
The SEC defines a family office as a firm set up by wealthy families to manage their money and provide tax and estate planning services. ...
The second of three Dodd-Frank rules affecting advisers passed by the SEC last week would define a venture capital fund and set rules when these ...
Three years after the financial crisis that sparked them, three new SEC rules have been finalized by the Commission. Advisers affected by them will have ...
This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...
This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million ...
This is the amended Form ADV with changes that the SEC made to Dodd-Frank reforms. This was released in June 2011.
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