SEC: Rulemaking

The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under the Securities and Exchange Act ...

The Securities and Exchange Commission (“SEC” or “Commission”) is proposing rules that would require the application of specific risk mitigation techniques to portfolios of security-based ...

Despite the comment period for the SEC’s trio of fiduciary duty-related proposals closing this past summer, the industry continues to weigh in on proposed Form ...

The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of mission, the “Reg Flex” ...

In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed ...

The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last April, but investors ...

This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018.

If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you ...

The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to Regulation National Market System (“Regulation NMS”) under the Securities Exchange Act of 1934 ...

Concerns about the current volume, format and content of variable contract disclosures have led the SEC to propose a new “layered” disclosure approach. The Commission ...