SEC: Regulators

"The transparency afforded by these amendments should make it easier for such clients who are investment advisers to conduct due diligence and oversight of these ...

The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...

The Commission seldom succeeds in meeting its planned deadlines but here are a few from its updated list

We request that the SEC require companies to list specific locations—at least street addresses, and preferably longitude and latitude—of all facilities whose loss or impairment ...

The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...

Officially, the SEC is suing a South Florida digital investment adviser for failure to maintain and hand over its books and records—including those behind a ...

FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...

Large size broker-dealers will be allowed to comply with Consolidated Audit Trail requirements over a new, phased timeline, and small-to-medium sized firms that had been ...

Proposed SEC rules that would allow registered investment companies to delegate fund valuations to their investment advisers represent an excellent opportunity for IAs to get ...

Investment advisers will be able to borrow from sister funds during the coronavirus pandemic, the SEC has announced. The March 23 order allows funds to ...