SEC: Rulemaking

Today’s rules are designed to address issues that arise as a result of the complex products and relationships that characterize the security-based swap market and ...

Today’s rule spells out some important protections and business conduct standards mandated by Congress in the Dodd-Frank Act. These include anti-fraud rules, a chief ...

Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...

Look for SEC staff to submit a recommendation to the Commission “soon” to publish the consolidated audit trail (CAT) plan for public comment. Stephen Luparello, ...

The FDIC and the SEC are jointly proposing a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title ...

Cross off another of the Dodd-Frank mandated responsibilities for SEC commissioners. The three sitting commissioners Feb. 10 unanimously approved a final rule that provides guidance ...

The effective date for subpart U, which adds Form Funding Portal, was inadvertently omitted in the DATES section of the Federal Register. This correction adds ...

With its proposed rule to heighten disclosures from alternative trading system operators (IA Watch, Nov. 19, 2015), the SEC wants to bring dark pools into ...

The Securities and Exchange Commission (“SEC” or “Commission”) is publishing for comment a proposed amendment to specify the form and manner with which security-based swap ...

In a 3-1 vote Dec. 11th, SEC commissioners approved a proposal that would create new Investment Company Act rule 18f-4 that would give mutual funds, ...