SEC: Rulemaking

One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...

The proposed rule would require advisers to conduct due diligence prior to engaging a service provider to perform certain services or functions. It would further ...

The "Commission noted that asset managers may engage with service providers with international operations and, therefore, generally should consider potential risks related to outsourcing beyond ...

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers will have to ...

Exams focus on alt data, suspicious "wins"

Swing pricing and 'hard close' would be imposed on most funds

Commission closes book on 'say-on-pay,' imposes 14 new voting categories

SEC examiners have reported problems: 'we are troubled that the Commission staff have observed some advisers unable to provide timely responses to examination and enforcement ...

The proposed rule and the preamble give examples of what would be in the rule and what services would be outside the rule

"Today’s proposal incorporates lessons from actual times of stress. As the proposal notes, in March 2020, at the outset of the Covid-19 pandemic, most segments ...