SEC: Rulemaking

Assuming an SEC rule change to the more than two-decades old Reg S-P comes to fruition, you have lots of time to prepare but also ...

When the SEC finalized its changes to Reg S-P last year, it also tweaked other securities rules to fall in line with the enhanced privacy ...

Examine what new rules are slated to go into effect this year

The SEC adopts changes to the B-D net capital rule and customer protection rule to permit certain B-Ds that perform a daily reserve computation for ...

"Today’s amendments would change this requirement for the largest broker-dealers to daily computation rather than weekly"

"The rule the Commission is adopting today increases, for the largest broker-dealers, the frequency at which they must perform the reserve calculations"

"The adoption of the final amendments has been rushed in an apparent attempt to be promulgated prior to the end of the Biden Administration"

You must comply with these requirements in order for documents to be timely received and accepted

This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports

"Today’s amendments build on more than 20 years of Commission actions to modernize filing and recordkeeping requirements"