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SEC: Rulemaking

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 ...
In another effort to simplify the Volcker rule, five federal regulators – including the SEC and the CFTC – have issued a 504-page final rule ...
SEC Commissioner Hester Peirce would like to see “more focused momentum” at the Commission toward finalizing the regulatory regime for digital assets. In a July ...
This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March 20, 2019), which was ...
Form ADV. The pay-to-play rule. Money market rules. Risk management controls for broker-dealers.   These are among the eight rules the SEC will be reviewing ...
Questions have swirled in the industry around the application of the federal securities laws and FINRA rules regarding the custody of digital asset securities. In ...
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