SEC: Rulemaking

"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 ...

The final rule estimates initial costs to satisfy the revised rule 'will range from $50,000 to $500,000 per fund.' For those funds that will have ...

Gensler tells Congress the final private funds rule "was adjusted in multiple ways based on public feedback on the proposal"

Bankers, insurance companies, real estate managers walk with private fund advocates to stop 'fundamental changes' to custody system

Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus ...

"Today’s adoption will modernize the Names Rule in a number of ways for today’s markets"