SEC: Rulemaking

The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...

With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ...

Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Watch, ...

You’ll have 30 days to comment once the SEC publishes its latest proposed rule in the Federal Register. The new proposal would create two new ...

This corrects a few items in the earlier SEC proposal calling for a Form CRS.

The Securities and Exchange Commission (“Commission”) is proposing to amend its auditor independence rules to refocus the analysis that must be conducted to determine whether ...

A variety of questions are already beginning to “percolate” as the industry wraps its head around the significant package of fiduciary duty-related proposals advanced by ...

We are adopting revisions to forms filed under the Securities Exchange Act of 1934 (“Exchange Act”) to eliminate the portion of those forms that requests ...

An advantage found in the SEC’s proposed interpretation of the IA fiduciary duty is that the legal concept now gets brushed together all in one ...

Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...