SEC: Rulemaking

Most investment advisory firms will not need to secure a surprise annual exam to verify client assets after the Commission voted unanimously last week to ...

Commissioners voted unanimously this morning to adopt the SEC's first major rule affecting investment advisory firms in the aftermath of the Madoff scandal. In approving ...

SEC Commissioners plan to meet Wednesday to consider their amendments to the proposed custody rule (IA Watch, Aug. 10, 2009). The question to be answered ...

Should the SEC adopt its pay to play proposal ( IA Watch, Oct. 12, 2009), advisory firms should consider adopting best practices, such as adding ...

Among the 20 recommendations contained in a 96-page joint report released Friday by the SEC and the CFTC is one that supports congressional efforts to ...

You knew the SEC's plan to ban advisers from using placement agencies to attract government pension plan business would be controversial and the industry has ...

Out with the old, in with the new. As the Treasury Department's insurance program for money market funds was phased out earlier this month, SEC ...

Two months after the SEC closed the comment period on its two proposals for addressing short selling the agency has thrown a new third option ...

More than 850 people sent off comments to the SEC in response to the agency's proposed custody rule (IA Week, May 25, 2009), but agency ...

Reg S-AM has been six years in the making. The SEC last week released the final rule stemming from a revision in 2003 to the ...