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SEC: Rulemaking

Although there are similarities between the two standards that investment advisers and broker-dealers must live under – each must put their client’s interest ahead of ...
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (“Exchange Act”). ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of the standard of conduct for investment advisers under the Investment ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...
The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...
The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Securities Exchange Act of 1934 (“Exchange Act”), establishing a standard of ...
Succinct, clear and concise, and Plain-English aren’t usually the buzz words affixed to SEC disclosures but those are among the goals for the Form CRS ...
The SEC’s approval by a 3-1 vote of the issuance of an interpretation of the “solely incidental” prong of the broker-dealer exclusion under the Advisers ...
At the center of the commissioner disagreement at their June 5 meeting over the SEC’s investment adviser fiduciary duty proposal is whether the final version ...
Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the ...
It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their ...
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing a number of actions to address the cross-border application of certain security-based swap requirements under ...
Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to the international ...
We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses, including ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS’’) under the Securities Exchange ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”) under the Securities ...
The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process can be expected ...
Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory organization’s (“SRO”) financial surveillance examination ...
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