SEC: Rulemaking

"The Commission’s apparent insatiable appetite to obtain and store more and more surveillance data in its systems grows with each rulemaking—with little consideration on issues ...

It remains a best practice for advisers to produce a written annual review

This technical amendment reverses some Advisers Act changes due to a federal court disallowing the Commission's private fund rule. This means the annual review is ...

The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...

The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

Russia’s invasion of Ukraine has rattled the world, and it also can explain new changes adopted by the SEC for mutual fund advisers

Explaining what's behind new SEC rules for mutual fund advisers, reaction to FinCEN's new AML rules for advisers, a PF runs into troubles around expenses ...

The SEC finalizes this rule that adjusts for inflation the dollar threshold used in defining a “qualifying venture capital fund”