SEC: Rulemaking

These are the key definitions under the SEC's PF compliance rules

This is the SEC's rule on PF audits

Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics

Now or never as SEC faces political calendar

The clock is ticking on some two dozen epoch-making rule proposals at the SEC.

You have until Oct. 10th to comment on the SEC’s proposal targeting the use of artificial intelligence

You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds

Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus ...

The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...

The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration