SEC: Rulemaking

Completing the Commission’s standards of conduct rulemaking remains “a top priority” for SEC Chairman Jay Clayton. In an address April 8 at the annual SEC ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory organization’s (“SRO”) financial surveillance examination ...

The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processes for business development companies (“BDCs”) and other ...

We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the ...

After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities comprising its ...

Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first deadline ...

SEC commissioners March 20 approved a new proposal that would streamline the registration process for BDCs and other closed-end investment companies. It also includes two ...

modernization efforts this year will also start with rules that the Commission proposed last year. For example, finalizing the ETF and fund of ...

You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a ...

The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require reports on ...