SEC: Rulemaking

"It would better help to protect the SIPC Fund, particularly from the risk that when a broker-dealer fails, it has a midweek shortfall in its ...

"Unfortunately, it appears the Commission is poised to repeat the errors of the past.  This time it may even be worse, as the final rule ...

"Recent failures in the banking sector brought into sharper focus the need to review vulnerabilities in the existing customer asset protection framework for broker-dealers"

"Increases in a fund’s liquidity requirements may reduce the transaction costs of redemptions. Eliminating the ability of a fund to suspend investor redemptions may reduce ...

Gensler: 'I’m voting for fewer federal bailouts...'

"Unfortunately, the simultaneous consideration of numerous complex items – many of them rulemaking initiatives – has become commonplace within the Commission .... The Commission can ...

This final rule makes it unlawful for any officer, director, supervised person, or employee of a security-based swap dealer or major security-based swap participant to ...

The Commission's new rulemaking agenda details nearly 60 items in the proposed or final rule stage

The proposed rule aimed at the oversight of third-party service providers now has a timetable for final action of April 2024

Association cautions slew of adviser proposals will "significantly overhaul the current regulatory regime" under the Advisers Act