SEC: Rulemaking

The biggest changes in the custody rule since 2003 call for an annual surprise exam - with an estimated average cost of $8,100 - for ...

In its first proposed revision of the Advisers Act since the mischief of Bernard Madoff, the Commission has decided unanimously to propose all advisers with ...

SEC Chairman Mary Schapiro regards it as "essential that the SEC comprehensively re-examine the money market fund regulatory regime" and she has asked staff to ...

The SEC need not wait for Congress to act to reform the "patchwork quilt" of regulatory rules governing investment advisers and broker-dealers, according to Commissioner ...

The tables weren't circular but the discussion was lengthy at the SEC's roundtable on short selling last week, in which speakers gave Commissioners various opinions ...

Tougher rules regarding custody, surprise exams by CPAs and a mandated, independent compliance audit are among the proposals the SEC is considering, says Chairman Mary ...

Your comments are welcomed on a new proposal to hear from the industry on a plan to create a safe harbor for those who use ...

In a speech April 6 in Washington, SEC Chairman Mary Schapiro listed several "potential reforms" she's looking at, including requiring that "certain investment advisers have ...

The hubbub around short selling has persuaded the SEC to possibly adopt a new rule. The Commission voted unanimously April 8 to propose a rule ...

March 16th has come and gone, which means the deadline has passed for all Form D filings with the SEC to be made electronically (IA ...