Final Rule Releases

The SEC adopts new Rule 13f-2 and new Form SHO, which would require institutional investment managers that meet or exceed certain specified reporting thresholds to ...

This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023

This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...

The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...

The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...

The SEC adopts new rules directing mutual fund advisers to transmit concise and visually engaging annual and semi-annual reports to shareholders that highlight key information ...

This is the Department of Labor's 2022 final rule providing a green light for ERISA investment managers to invest in ESG securities

The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...