SEC: Rulemaking

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"

"The Commission’s apparent insatiable appetite to obtain and store more and more surveillance data in its systems grows with each rulemaking—with little consideration on issues ...

It remains a best practice for advisers to produce a written annual review

This technical amendment reverses some Advisers Act changes due to a federal court disallowing the Commission's private fund rule. This means the annual review is ...

The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...

The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public