Final Rule Releases

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 ...

The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

This final rule from the SEC takes effect July 1, 2024

This final rule rescinds certain guidance that the Commission issued to investment advisers about their proxy voting obligations

We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...

The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

Rule 151(a) currently sets forth the procedural requirements for filing papers with the Commission