SEC: Rulemaking

Last week's release by the SEC of its 32-page proposed pay-to-play rule aroused howls of protest from some corners, especially over its ban of use ...

Language from the SEC that complies with the Fair Credit Reporting Act for opt-out forms to share with consumers for marketing purposes. This comes from ...

As the SEC's latest proposal to address corruption by some advisers in seeking to manage public pension funds hits the street, already some worry the ...

Everything old is new again, as seen in the Commission's unanimous vote last week to propose a rule targeting investment advisers that provide or encourage ...

Expect a proposed SEC rule in the next few days, which you'll be able to comment on, that seeks to bring more transparency to proxy ...

Total fails-to-deliver shares in the first quarter 2009 totaled 21.6 billion. While some may complain this is still too high, consider that the fails for ...

Money market funds would have to maintain a minimum amount of their assets in cash-like securities, shorten maturity limits, restrict funds to safer investments, undergo ...

The most controversial part of the SEC's proposed custody rule hovers around declaring a firm as maintaining custody if it electronically deducts client fees (IA ...

The aftermath of the burgeoning scandal around New York's largest pension fund (IA Week, May 4, 2009) appears to be driving the SEC next month ...

Some believe the SEC has gone too far; others say not far enough. Consensus lines up with disapproval of the Commission's decision to propose that ...