Rules & Regulations

This is the SEC's rule on PF audits

This is the SEC's proposed changes to the books and records rule amid its replacement of the custody rule

(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...

This reflects changes the SEC has made to this rule effective in 2023

SEC rules around shareholder reports

This is a Securities Act rule that governs marketing

This rule layouts guidance for fund advertising

This is the SEC's revised rule for mutual fund advisers governing making shareholder reports available via the Internet

'Come forward, cooperate and remediate,' top prosecutor says

This is the SEC's proposed revised liquidity risk management rule from November 2022