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Proposed Rules
The Securities and Exchange Commission is proposing amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end investment ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to conduct a Transaction Fee Pilot for National Market System (“NMS”) stocks to study the ...
We are proposing amendments based on the recommendations made in the staff’s Report on Modernization and Simplification of Regulation S-K, as required by Section 72003 ...
We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers ...
As is explained below, the Commission is extending for 60 days the comment period for the Proposal until May 15, 2017.
The proposed amendments would amend the list of events for which notice is to be provided to include (i) incurrence of a financial obligation of ...
We are proposing to require the use of the Inline XBRL format for the submission of operating company financial statement information and mutual fund risk/return ...