SEC: Rulemaking

In a speech April 6 in Washington, SEC Chairman Mary Schapiro listed several "potential reforms" she's looking at, including requiring that "certain investment advisers have ...

The hubbub around short selling has persuaded the SEC to possibly adopt a new rule. The Commission voted unanimously April 8 to propose a rule ...

March 16th has come and gone, which means the deadline has passed for all Form D filings with the SEC to be made electronically (IA ...

So whatever happened to the SEC's Form ADV, Part 2 proposal (IA Week, Dec. 15, 2008)? It rests "high on the agenda for this year," ...

The SEC is hiking civil money penalties for violations of the Advisers Act and other securities laws for the first time in four years. The ...

Even before the ink dried on the SEC's new final rule on indexed annuities, several insurance companies sued the agency over its attempt to regulate ...

The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...

This is a rule governing short selling around a public offering

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 201[Release No. 34-52846; File No. S7-05-05]Adoption of Amendments to the Rules of Practice and Related Provisions and ...

Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws Securities and Exchange Commission [Release Nos. 33-8236; 34-47972; IC-26066; File ...