Proposed Rules

The Commission proposes to amend the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasury securities ...



Some individual information providers of the types we describe below have registered with the Commission as investment advisers (sometimes because of other business in which ...

[W]e are of the view that greater transparency and more robust investor protections could assist investors in evaluating and making investment, voting, and redemption decisions ...

"To the extent that the Commission establishes different or additive requirements [from the CFTC's], dually registered entities and their market participants might need to incur ...

The Proposed Rules also would not exclude investment advisers registered under the Advisers Act. A registered investment adviser trading for its own proprietary account, for ...

The Commission estimates that, each month, approximately 1,000 Managers would trigger a Reporting Threshold for at least one security, and therefore be required to file ...

This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers

"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...

This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C