SEC: Rulemaking

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 ...

The Commission is extending the compliance dates for the Trade Submission Requirement to allow for further engagement on compliance, operational, and interpretive questions

Form SHO reports for the January 2026 reporting period would be required to be filed within 14 calendar days after the end of January 2026

The industry will no longer have to report Social Security numbers, dates of birth and account numbers for customers

The initiative is aimed at the elimination of 10 regulations for each new regulation issued by federal agencies

The CFTC and the SEC are extending the compliance date for the Form PF amendments from March 12, 2025 to June 12, 2025

This newly released SEC regulatory agenda reflects the priorities of former Chairman Gary Gensler and may not mirror coming SEC rulemaking under the new Trump ...