SEC: Rulemaking

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 ...

The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...

The OCC, Board, FDIC, SEC, and CFTC are adopting final rules to amend the regulations implementing the Bank Holding Company Act’s prohibitions and restrictions on ...

Regulatory change was flagged as the perceived single biggest challenge facing compliance officers this year, according to Thomson Reuters Regulatory Intelligence’s 10th annual survey on ...

A package of rules adopted by the SEC June 21 represents another significant step toward the establishment of the regulatory regime for security-based swap dealers ...

Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen of the SEC and ...

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 ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its auditor independence rules to refocus the analysis that must be conducted to determine whether ...

Now that the SEC has completed its ground-breaking fiduciary duty rulemaking, the Commission can now turn its sights on other rulemaking initiatives currently in the ...

With exempt offerings accounting for a significantly larger amount of new capital compared to registered offerings, the SEC is reaching out for feedback on the ...