SEC: Rulemaking

All of the changes in today’s rules are made with the view that our state regulators will be closely monitoring offerings under the amended rule ...

I find the proposed solution to not receiving the dissident’s proxy statement to be interesting. The company’s proxy statement would simply advise that the ...

First, I objected to the continued use of percentage thresholds as a component of a method for determining the intrastate nature of an issuer. ...

We are proposing amendments to the federal proxy rules to require the use of universal proxies in all non-exempt solicitations in connection with contested elections ...

In the most extreme case, the SEC’s giving the industry nearly three years to comply with parts of its three new mutual fund rules (IA ...

Securities lending, repurchase agreements, counterparties, derivatives, assets/liabilities, outflows, holdings – even if a fund’s CCO has changed since the last report – are among the ...

The third and final new SEC rule targeting mutual funds gives fund advisers an option when redemptions spark trouble.   The Investment Company Swing Pricing ...

The Securities and Exchange Commission is adopting new rules, a new form and amendments to a rule and forms designed to promote effective liquidity risk ...

The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and ...

The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company (“open-end ...