SEC: Rulemaking

"Private fund investors often are retirement funds and endowments .... That’s why we proposed a rule to require private fund advisers to provide detailed reporting ...

This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...

The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...

What would proposed rule 223-1 (safeguarding client assets) mean in a private fund context? How would a private equity fund adviser 'safeguard' a portfolio company?

Technological advancements, changing demographics and rapid growth are capturing the attention of the Division of Investment Management

You now have until May 22 to share your comments with the SEC

Proponents see existential threats grow exponentially

The current Reg S-P requires firms to alert customers how they will use their information. The SEC proposed amending Reg S-P in 2008 but it ...

If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...

"Today’s proposed amendments are a mixed bag of practical improvements and potentially conflicting requirements"