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SEC: Rulemaking

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 ...
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 ...
Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...
Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes from ...
As the SEC's latest proposal to address corruption by some advisers in seeking to manage public pension funds hits the street, already some worry the ...
Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...
Expect a proposed SEC rule in the next few days, which you'll be able to comment on, that seeks to bring more transparency to proxy ...
Total fails-to-deliver shares in the first quarter 2009 totaled 21.6 billion. While some may complain this is still too high, consider that the fails for ...
Money market funds would have to maintain a minimum amount of their assets in cash-like securities, shorten maturity limits, restrict funds to safer investments, undergo ...
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