SEC: Rulemaking

This is the amended Form ADV with changes that the SEC made to Dodd-Frank reforms. This was released in June 2011.

When the SEC revised its custody rule for advisers, it promised to push a similar rule for broker-dealers. Last week it put out a proposal ...

This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...

SEC commissioners voted 3-2 last week along party lines to approve a final rule expanding the agency's whistleblower program without including a mandate that whistleblowers ...

This is the SEC's final rule under the Exchange Act expanding the agency's whistleblower program in accordance with Congress's wishes under Dodd-Frank. This was released ...

IA Watch has obtained an April 27 letter signed by SEC Chairman Mary Schapiro that indicates the Commission is likely to finalize by July 21 ...

This is a letter dated April 27, 2011 from SEC Chairman Mary Schapiro to an unidentified recipient. The letter mentions the likelihood of the Commission ...

A little known provision within the Dodd-Frank reforms is causing advisers to pooled investment vehicles to question whether they'll be able to freely engage in ...

Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance-based fees. A new proposed rule issued ...

Dodd-Frank gave the SEC the authority to annually adjust the dollar thresholds for when advisers can charge clients performance—based fees. A new proposed rule issued ...