This is the SEC's extension of the principal trading rule. This rule would sunset in 2013.
The SEC's 2010 release adjusting fees for IARD filings.
The SEC's proposed rule released in October 2010 regarding potential new reporting obligations for institutional investment managers around their proxy votes.
This is an SEC proposal from October 2010, again, resulting from Dodd-Frank, that would require any issuer registering the offer and sale of an asset-backed ...
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 ...
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 ...
The SEC's proposed rule, released in June 2010, regarding changes in how target date funds are advertised. The changes would be designed to give investors ...
This is a final rule released by the SEC in February 2010 affecting money market funds. It carries various compliance dates (S7–11–09 and S7–20–09).