SEC: Rulemaking

So whatever happened to the SEC's Form ADV, Part 2 proposal (IA Week, Dec. 15, 2008)? It rests "high on the agenda for this year," ...

The SEC is hiking civil money penalties for violations of the Advisers Act and other securities laws for the first time in four years. The ...

Even before the ink dried on the SEC's new final rule on indexed annuities, several insurance companies sued the agency over its attempt to regulate ...

The SEC voted 4-1 last month to classify equity-indexed annuities as securities, a move strongly opposed by the insurance industry because insurance agents will be ...

This is a rule governing short selling around a public offering

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 201[Release No. 34-52846; File No. S7-05-05]Adoption of Amendments to the Rules of Practice and Related Provisions and ...

Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws Securities and Exchange Commission [Release Nos. 33-8236; 34-47972; IC-26066; File ...

The SEC is adopting amendments to the rule under the Investment Company Act of 1940 that permits mergers and other business combinations between certain affiliated ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 248 Release Nos. 34-42974, IC-24543, IA-1883; File No. S7-6-00RIN 3235-AH90 Privacy of Consumer Financial Information (Regulation S-P)AGENCY:Securities and Exchange ...

This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.