SEC: Rulemaking

"I have other concerns, including the overlap between our amended investment company advertising rules and FINRA’s communications rules, but I think you get the point ...

"Shareholder reports will include a simplified expense presentation – a table showing the expenses associated with a hypothetical $10,000 investment in the fund during the ...

"Modernizing disclosures goes to the heart of the Commission’s mission to protect investors. Today’s release does exactly that"

This is the SEC's new proposed rule that would require advisers to conduct due diligence and monitoring of service providers

"There may be a role for enhanced procedures for oversight of specified functions performed by third parties for investment advisers, but the breadth of this ...

"Today’s final rules would require fund companies to share a concise set of materials that get to the heart of the matter"

"I support today’s amendments, although I agree with Commissioner Peirce that the Commission should address concerns regarding the disclosure requirements related to acquired fund fees ...

"These ambitious proposals have received robust public comment and for good reason.  These proposals – both staggering in their complexity and reach - are merely ...

The Commission proposes to amend the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasury securities ...

"The quality of agency rulemaking suffers when the public is unable to meaningfully participate"