SEC: Rulemaking

At the center of the commissioner disagreement at their June 5 meeting over the SEC’s investment adviser fiduciary duty proposal is whether the final version ...

Broker-dealers have one year to ready for the major changes many will have to make to comply with the SEC’s new Reg BI after the ...

It may have surprised you to see that SEC commissioners added a 4th element to their scheduled June 5 meeting when they’ll take up their ...

One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...

The Securities and Exchange Commission (“SEC” or “Commission”) is proposing a number of actions to address the cross-border application of certain security-based swap requirements under ...

Nearly a decade after the Dodd-Frank law took effect, SEC commissioners have proposed revisions to how it regulates the law’s provisions related to the international ...

We are proposing amendments to our rules and forms to improve the disclosure requirements for financial statements relating to acquisitions and dispositions of businesses, including ...

The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS’’) under the Securities Exchange ...

The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”) under the Securities ...

The SEC’s Director of the Division of Investment Management Dalia Blass has signaled that developments on improvements to the proxy advisory process can be expected ...