SEC: Rulemaking

In its latest action to discourage abusive short selling that some blame for a stumbling market, SEC commissioners voted 3-2 last week to give the ...

The SEC's final rule from December 2009 governing proxy disclosures.

With four weeks to go before the SEC's new revised custody rule takes effect - and still many unanswered questions floating about - you may ...

The questions keep coming about the SEC's new revisions to the custody rule, which goes into effect March 12 (IA Watch, Jan. 18, 2010). Here ...

The SEC's new custody rule revision calls on advisory firms to have a "reasonable belief" that a custodian sends account statements directly to clients. While ...

Make your first stop after the SEC's release of its custody rule be your client contract. Many contracts give the adviser a broad power-of-attorney, which ...

Sometime in March, the SEC's revised custody rule will likely take effect, ticking the clock toward aggressive deadlines for those firms that will need to ...

The final rule revising the Advisers Act to provide guidance to accountants who will conduct surprise exams and internal control reports in connection with the ...

The final rule revising the Advisers Act custody rule, released January 11, 2010 and taking effect March 12, 2010.

Just days before temporary Advisers Act rule 206(3)-3T was due to expire, the SEC issued a final rule this month that pushes the sunsetting of ...