SEC: Rulemaking

The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary ...

The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...

After a six-city tour of investor roundtables concerning the SEC’s standards of conduct for investment professionals rulemaking it’s clear to Commission Chairman Jay Clayton that ...

The Commission is revising the delegations of authority to its General Counsel as a result of the Commission’s experience with its existing rules and to ...

The Securities and Exchange Commission (“Commission” or “SEC”) is adopting amendments to the Municipal Securities Disclosure Rule (Rule 15c2-12) under the Securities Exchange Act of ...

We are adopting amendments to certain of our disclosure requirements that have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission disclosure ...

With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to important market information.  ...

The Securities and Exchange Commission is adopting amendments to regulatory requirements in Regulation ATS under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) applicable to alternative ...

The August 7 deadline for comments on the trio of SEC fiduciary duty-related proposals (IA Watch, April 18, 2018) is fast closing in and SEC ...

We are proposing amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered, and issuers’ affiliates whose securities ...