SEC: Rulemaking

A 'foreign issuer' is any issuer which is a foreign government, a national of any foreign country, or a corporation or other organization incorporated or ...

The IAA urges new SEC chairman to deploy a flexible, principles-based approach to regulations

Letter details five rulemaking priorities that would benefit "the 120 million Americans who use investment funds"

It has been more than 30 years since the SEC last reviewed the Investment Company Act regulatory framework

Given President Trump's directive, the SEC is extending the compliance dates of Form N-PORT changes to provide time for the Commission to complete its review

This joint CFTC and the SEC final rule revising Form PF is effective as of April 11, 2025. It's designed to fix some errors with ...

It’s hard to argue with giving compliance more time to meet new SEC requirements, and now mutual fund advisers can revel in knowing they have ...

New rules and form changes apply to initial public offerings by SPACS. Beginning in June 2025, registrants must tag disclosure required under the final rules ...

"All Commission rulemaking actions should begin with an identification of the rule’s purpose. What problem is the Commission trying to solve, and is it squarely ...

The SEC extends the compliance dates for the so-called Names rule, which aims to prevents mutual funds from using names that can mislead investors, from ...