SEC: Rulemaking

Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t offer ...

Ten years after the Commission first proposed a rule that would eliminate decades worth of exemptive orders for ETFs, it’s back with a new proposal ...

In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed (IA ...

The Securities and Exchange Commission (“Commission”) is proposing for public comment several amendments to the Commission’s rules implementing its whistleblower program. Section 21F of the ...

The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (the “Investment Company Act” or the ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end ...

One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears ...

This is a proposed revision of the so-called Volcker rule.

The Securities and Exchange Commission (“Commission”) is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds ...

The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is making technical amendments to certain rules of organization and rules of practice to indicate that Commission materials ...