Proposed Rules

The Securities and Exchange Commission (“Commission”) is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds ...

The Commission is proposing new rule 139b under the Securities Act of 1933. If adopted, the proposal would establish a safe harbor for an unaffiliated ...

This corrects a few items in the earlier SEC proposal calling for a Form CRS.

The Commission proposes to amend the definition of “eligible master netting agreement” in the CFTC Margin Rule to ensure that master netting agreements of firms ...

The Securities and Exchange Commission (“Commission”) is proposing to amend its auditor independence rules to refocus the analysis that must be conducted to determine whether ...

We are proposing a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a standard of conduct for broker-dealers and natural persons ...

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing for comment a proposed interpretation of the standard of conduct for investment advisers ...

The Securities and Exchange Commission (“Commission”) is proposing new and amended rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and ...

The proposal for Reg BI

; Request for Comment on Enhancing Investment Adviser Regulation