SEC: Regulators

The Investment Advisers Act of 1940 Section 211 -- Rules, Regulations, and Orders

Securities Act of 1933 Section 19 -- Special Powers of Commission The Commission shall have authority from time to time to make, amend, and rescind ...

Months after the SEC held a roundtable to look at the use of proxy advisers (IA Watch, Dec. 9, 2013), the agency last week released ...

One of the final mandated Dodd-Frank actions by the SEC moved toward completion last week as five commissioners backed a final rule key to the ...

The Commission is also committed to considering the appropriate next steps on the investment adviser and broker-dealer initiative. Section 913 of the Dodd-Frank Act granted ...

Last month, SEC Chair Mary Jo White laid out her vision for what she'd like the Commission to achieve this year (IA Watch, Feb. 3, ...

You can anticipate SEC commissioners to be busy this year finalizing money market fund reforms, passing new disclosure rules for asset-backed securities and taking final ...

The world of social media may be swaying the SEC's Division of Investment Management to update rules for advisers. The effort, announced at the recent ...

In-laws may be family members but they don't qualify as family clients under the SEC's 2011 final rule on what qualifies a family office from ...

Firms that issue asset-backed securities and use derivatives will want to be on the lookout for two invitations from the SEC to share their thoughts ...