SEC: Rulemaking

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 ...

"My reservations stem from the breadth of the rule and the likelihood that it will spawn more consumer notices than are helpful"

"Rapid technological change is now the norm and more frequent cybersecurity incidents and data breaches add additional risks that warrant Commission action to ensure that ...

"The final amendments do not require a financial institution to enter into a contract with its service providers to deliver data breach notices .... This ...

"Under these amendments, covered firms will be required to notify customers of breaches that might put their personal data at risk"

"It is difficult to envision a money laundering concern that should be addressed with these activities, and it is unreasonable to require advisers to implement ...