SEC: Rulemaking

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 ...

At 42 comments, the SEC wasn't exactly inundated with industry views about its proposed rule creating Form PF (IA Watch, Feb. 7, 2011) for fund ...

One reason the SEC pushed the effective date for part of its pay-to-play rule to this September is because of the challenge for advisers to ...

This is another Dodd-Frank inspired proposed rule from the SEC in 2011. This one, proposed jointly with the CFTC and other regulators, regarding the definitions ...

In a week when the Commission voted to propose the removal of references to credit ratings in Exchange Act regulations, comments closed on an earlier ...

Recent comments from SEC Chairman Mary Schapiro indicate that she expects the Commission to move forward and implement a new, uniform fiduciary duty standard for ...

Last week the SEC proposed another Dodd-Frank inspired rule, this one to outline responsibilities to search for missing security holders. The rule would revise Exchange ...

This SEC proposal made in March 2011 would direct investment advisers and other “paying agents” to search for missing security holders.