SEC: Rulemaking

"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"

"It’s because we oversee the U.S. securities markets and have a real role to ensure they remain the most efficient, competitive, and resilient in the ...

The IAA grants RCW permission to share this chart with you

It may have taken 13 years, but the SEC has finally approved a rule Congress ordered it to promulgate in the 2010 Dodd-Frank law: prohibiting ...

"A conflicted transaction entails directly shorting the ABS, entering into a credit default swap that references the underlying assets, or something economically equivalent to either ...

"Our pattern of proposing unrealistic rules with numerous questions, only to substantively revise the rule text after the comment period closes inhibits our ability to ...