SEC: Rulemaking

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amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Rules 600 and 606 of Regulation National Market System (“Regulation NMS”) under the ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its Rules of Practice. These changes concern, among other things, the timing of hearings in ...

For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...

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

The long-promised proposal to require transition plans for investment advisers has finally emerged from the Commission (IA Watch, Dec. 11, 2014). A new 96-page proposal ...

The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule to implement the Federal Civil Penalties Inflation Adjustment Act Improvements Act of ...

We are proposing amendments to the definition of “smaller reporting company” as used in our rules and regulations. The proposed amendments, which would expand the ...

This release makes technical corrections to rules that were published in the Federal Register on September 24, 2014 (79 FR 57184). The Commission adopted revisions ...

Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. That decision ...