Home SEC: Rulemaking

SEC: Rulemaking

The SEC specifically notes that these new duties wouldn’t “supplant or by itself satisfy” an IA’s fiduciary duty
Any final rule would replace decades worth of SEC guidance
The 2020 will cover a broad array of topics
Chairman looks back and ahead at his regulatory agenda
Proposed rule's regulatory language regarding testimonials
Rule clarifies proprietary trading and ownership of hedge or private equity funds
Rulemaking recommendation on new disclosure framework for variable products coming
Proposal would rename old rule, keep some elements and change others
Proposal would permit testimonials, mandate compliance reviews
Commission proposing tweaking record-keeping rule in light of advertising proposal
This is the SEC new proposed advertising rule
The SEC proposes revising a rule that governs the publication of securities' quotations
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Investment Company Act of 1940 (the “Investment Company Act” or the ...
New Investment Company Act rule 6c-11 erases decades of exemptive letters
The SEC has proposed to revise over-the-counter securities rules to require broker-dealers to make sure that the information they’re sharing with retail investors is up-to-date ...
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”), pursuant to the Securities Exchange ...

Copyright PEI Media

Not for publication, email or dissemination