SEC: Rulemaking

The SEC amends the form currently used by most variable annuity separate accounts, Form N–4, to require issuers of RILAs to register offerings on that ...

Advocates say Commission should scrap, or give wide private fund carve-outs, in cybersecurity, outsourcing and predictive data analytics proposals

The Commission's newly released regulatory agenda contains 34 items, several of which would impact IAs, B-Ds, and private fund advisers

It’s coming soon. The deadline later this summer for advisers that must report 13F securities to reveal their proxy votes on the so-called say-on-pay issue

A federal appeals court has unanimously vacated the SEC’s new private fund rules

This is the decision, 3-0, vacating the SEC's new private fund rules

While this new final rule takes effect Aug. 2, the compliance dates are February 2026 for larger entities and August 2026 for smaller ones

This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...

Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the ...

You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...