SEC: Rulemaking

Although I believe this rule should have been stronger, and I tried to make it so, this rule is long past due. It has ...

The Securities and Exchange Commission (“SEC” or “Commission”) proposes to amend the definition of “covered clearing agency” under Rule 17Ad-22 to mean a registered clearing ...

The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Financial Industry Regulatory Authority (‘‘FINRA’’) rule 2030 (the ‘‘FINRA Pay to ...

The Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) is issuing an order finding that Municipal Securities Rulemaking Board (‘‘MSRB’’) rule G–37 (the ‘‘MSRB Pay to ...

There is no higher market structure priority for SEC Chair Mary Jo White than to ensure Commission consideration of a final CAT plan before year-end, ...

A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...

Reactions to the SEC’s final rule revising Form ADV and the books and records rule include gratitude that the agency listened to some industry comments, ...

The SEC has taken a major step toward improving the depth of information it collects on investment advisers by adopting August 25 a slew of ...

A new final rule from the Commission amends Exchange Act rule 13n-4 (duties and core principles of security-based swap data repository) to clarify that security-based ...

Pursuant to section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities ...