SEC: Rulemaking

A peek at the regulatory year ahead can be seen in a new speech by SEC Chair Mary Jo White. In speaking Dec. 11th, White ...

I will talk about the SEC’s perspective on the asset management industry today through a review of some of its most important features, highlighting the ...

Given technology’s role in the securities industry and troubling IT events, such as the flash crash, SEC commissioners voted Nov. 19th to adopt Regulation SCI. ...

SEC Commissioner Daniel Gallagher recently took a new stab at his frequent assaults on Dodd-Frank. He stated that the Commission “cannot let Dodd-Frank get a ...

The SEC is 90% toward tackling its mandated Dodd-Frank rulemaking. In recent testimony before the Senate Banking Committee, Chair Mary Jo White noted that Dodd-Frank ...

This final rule from 2014 revises "Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities" (ABS). It requires prospectuses ...

More light may be cast on dark pools and high-frequency trading, and firms that use algorithmic strategies may be mandated to do risk management. These ...

Last week, the SEC put out a 510-page proposed rule governing recordkeeping for broker-dealers, security-based swap dealers and major security-based swap participants. You'll have 60 ...

This is a proposed rule from the SEC in 2014 directed at broker-dealers, security-based swap dealers, major security-based swap participants related to recordkeeping and reporting ...

January 2010 custody final rule