Proposed Rules

The Securities and Exchange Commission is proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 designed to address the investor ...

We are proposing Rule 13q–1 and an amendment to Form SD to implement Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ...

The Commission is proposing to amend Regulation ATS to adopt Form ATS-N. Proposed Form ATS-N would require NMS Stock ATSs to provide information about the ...

Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently adopted intrastate crowdfunding provisions ...

This proposal would adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative ...

This proposal would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the ...

The proposed amendments also seek to enhance disclosure regarding fund liquidity and redemption practices. The Commission is proposing new rule 22e-4, which would require each ...

The proposal would amend Exchange Act rule 13n-4 related to regulatory access to security-based swap data held by security-based swap data repositories. The proposed rule ...

This is the proposed rule that would require investment advisers to mandate an anti-money laundering program. This was proposed by FinCEN, a part of the ...

The CFTC proposes rules relating to swap data reporting in connection with cleared swaps for swap data repositories (SDRs), derivatives clearing organizations (DCOs), designated contract ...