Proposed Rules

An SEC proposal in 2010 growing out of Dodd-Frank and concerning security-based swaps.

The SEC's proposed rule released in October 2010 regarding potential new reporting obligations for institutional investment managers around their proxy votes.

This is an SEC proposal from October 2010, again, resulting from Dodd-Frank, that would require any issuer registering the offer and sale of an asset-backed ...

This is another of the SEC's proposed rules growing out of the Dodd-Frank law. This one concerns securitizers of asset-backed securities (ABS) disclosing fulfilled and ...

This is the SEC's request for comment around definitions of swaps and security-based swaps based on Dodd-Frank reforms.

The SEC's proposed rule that would eliminate 12b-1 fees and transition to a new 12b-2 fee. This was released in August 2010.

This is the SEC's request for comment related to the congressionally mandated study of investment adviser and broker-dealer harmonization, including possibly expanding the fiduciary duty ...

A proposed rule with comment period from the SEC related to eliminating the flash order exception from rule 602 of Regulation NMS. This was proposed ...

The SEC's proposed rule, released in June 2010, regarding changes in how target date funds are advertised. The changes would be designed to give investors ...

The SEC's proposal, released in June 2010, related to creating a consolidated audit trail that would, among other things, assist the SEC and SROs in ...