SEC: Rulemaking

"While it is clear that T+0 will entail greater operational and technological challenges than the move to T+1, I agree with commenters that such a ...

"In my view, we are in an imprudent rush away from a sensible transition date and, for that reason, I am unable to support the ...

"The benefits to all market participants of efficiency and fairness are indisputable. And the sooner that our markets can benefit from T+1, the better off ...

(a) Safekeeping required. If you are an investment adviser registered or required to be registered under section 203 of the Act (15 U.S.C. 80b–3), you ...

A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...

Lizarraga wild card in deck

"I think it is very important that the Commission does not adopt a one-size-fits-all rule that treats the $5 billion fund adviser in the same ...

Comments will be accepted through March 31, 2023

It’s been 13 years in the making but the SEC has taken a step toward promulgating a Dodd-Frank era rule that would seek to prevent ...

"I have concerns whether today’s rule proposal correctly strikes this balance. Thus, comments from market participants will be especially important in consideration of any final rule"