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SEC: Rulemaking

Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory ...
The proposed amendments are intended to facilitate the disclosure of information to investors, while simplifying compliance efforts, without significantly altering the total mix of information provided ...
Quick question: How did you answer Form ADV, Part 1 Item 1.O? It reads: Did you have $1 billion or more in assets on the ...
We are adopting Rule 13q–1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ...
New Rule 901(a)(2)(i) of Regulation SBSR requires a registered clearing agency to report any security-based swap to which it is a counterparty. The Commission is ...
For the first time, broker-dealers would be required to disclose their handling of institutional orders to customers should proposed rules approved July 13 by the ...
An SEC Commissioner has charged that the agency’s delay in issuing a proposal to shorten the trade settlement cycle from three business days after a ...
The foresight inherent in decreeing that investment advisers have written business continuity and transition plans could be seen as quickly as a look to the ...
While this is another step toward completing the rules for security-based swaps, we have yet to finish the work set for us six years ago ...
We are proposing amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission ...
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