SEC: Rulemaking

"Today’s adoption will help ensure that the rules for SPACs are substantially aligned with those of traditional IPOs, enhancing investor protection through three areas: disclosure, ...

This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...

Here’s a snapshot of some of the regulatory developments slated to occur this year

Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices

These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...

"The final rules also will allow for customer margin collected by broker-dealers to be onward posted to the clearinghouse. Allowing such rehypothecation helps both protect ...

New SEC regulatory agenda contains 43 items, spanning those in both the proposed and final rule stage

Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...

"Few things undermine trust in the markets more than insiders abusing their positions for personal advantage, such as by trading using material nonpublic information"

"As we work to advance this agenda, we greatly benefit from public input regarding the economics and the policies themselves"