This is another of the SEC's proposed rules growing out of the Dodd-Frank law. This one concerns securitizers of asset-backed securities (ABS) disclosing fulfilled and ...
This is the SEC's interim final temporary rule governing the registration of municipal advisors as called for in the Dodd-Frank law. This technically expires in ...
The SEC's final rule from September 2010 that delegates the authority to issue formal orders to its Director of Enforcement. This action formally proscribes a ...
This is the SEC's request for comment around definitions of swaps and security-based swaps based on Dodd-Frank reforms.
This is an SEC final rule, released in August 2010, that extends authority to the director of the Enforcement Division to issue formal orders of ...
The SEC's proposed rule that would eliminate 12b-1 fees and transition to a new 12b-2 fee. This was released in August 2010.
This is the SEC's request for comment related to the congressionally mandated study of investment adviser and broker-dealer harmonization, including possibly expanding the fiduciary duty ...
The final rule, released by the SEC in July 2010, related to so-called pay-to-play issues. This rule contains a two-year penalty for firms that violate ...
A proposed rule with comment period from the SEC related to eliminating the flash order exception from rule 602 of Regulation NMS. This was proposed ...