SEC: Rulemaking

The Securities and Exchange Commission is adopting Rules 15Fi-1 and 15Fi-2 under the Securities Exchange Act of 1934 requiring security-based swap dealers and major security-based ...

Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...

The Securities and Exchange Commission (“SEC” or “Commission”) is making a technical correction to a burden estimate for Paperwork Reduction Act purposes and a corresponding ...

If you’re a CCO at a large investment adviser or broker-dealer, there’s a very good reason you’ll want to be aware of the government’s latest ...

The OCC, Board, FDIC, FHFA, NCUA, and SEC (the Agencies) are seeking comment on a joint proposed rule (the proposed rule) to revise the proposed ...

SEC chair Mary Jo White has said the Commission is looking to finalize this year its first-ever major update to its regulations covering alternative trading ...

We are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act ...

The CAT is finally out of the bag. Nearly four years in the making, the SEC voted April 27 to publish for public comment a ...

In accordance with Section 764 of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Securities ...

In yet another Dodd-Frank reform, SEC commissioners April 13 voted 2-1 for a final rule that would require security-based swaps dealers and major swap participants ...