Home SEC: Rulemaking

SEC: Rulemaking

We begin with derivatives. A critically important part of the Commission’s agenda is identifying and addressing, as appropriate, the risks in today’s asset management industry, ...
This proposal answers a pressing question that the Commission has been grappling with for many years – how should our rules be modernized to address ...
The release also notes that funds’ use of complex over-the-counter derivatives in particular entail risks. However, other regulatory action is already seeking to address some ...
The increased use of derivatives by registered funds is a particular risk for retail investors. As a former Director of the Division of Investment Management ...
The SEC again extended the deadline for broker-dealers having to comply with the final phase of the large trader rule, and raised the possibility it ...
The SEC examined 10% of the registered investment adviser population in fiscal 2015, meeting its goal and equaling the mark set in 2014. While critics ...
SEC Commissioners moved this week to amend Regulation ATS to require dark pools to report data. They approved a proposed rule that would bring greater ...
With the last year of President Obama’s tenure fast approaching, the biggest open question for the financial services industry is whether there will be movement ...
This is the SEC's final rule implementing the crowdfunding provisions of the JOBS Act. This allows retail investors to participate in crowdfunding opportunities, within limits. ...
Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently adopted intrastate crowdfunding provisions ...
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