SEC: Rulemaking

The new rule will require certain confidential loan information to be reported to a registered national securities association

While consumer groups applauds the SEC's plan AI rule, the industry overwhelmingly pans it

The provision governing stock loans may give compliance officers the biggest challenge

The SEC approved rule amendments that shorten the filing deadlines for Schedules 13D and 13G

This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023

"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...

"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...

"The amendments to filing deadlines for Schedules 13D and G are appropriate in light of advances in the communications and technology used by market professionals ...

The IAA suggests the SEC use the number of employees as the appropriate standard for determining the impact of its regulations on small advisers

The proposed rule targets the offerings of registered index-linked annuities, which are predominantly sold by broker-dealers, although investment advisers may also provide advice on RILAs ...