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Recent questions tagged sec
0
votes
0
answers
155
views
SEC Enhancement & Standardization of Climate-Related Disclosures for Investors -- final rule (3.28.24)
asked
7 months
ago
by
Andrew Reamer
(
58.3k
points)
sec
climate-related
0
votes
0
answers
202
views
SEC Adopts Rules Regarding Climate-Related Disclosures for Investors (3.6.24)
asked
7 months
ago
by
Andrew Reamer
(
58.3k
points)
sec
climate-related-financial-risk
0
votes
0
answers
451
views
Safeguarding Advisory Client Assets -- SEC reopens invite to comment on proposed rule (by 10/30)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
329
views
Predictive Data Analytics Use by Broker-Dealers & Investment Advisers -- SEC invites comment on proposed rule (by 10/10)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
broker-dealers
investment-advisers
predictive-analytics
0
votes
0
answers
232
views
Investment Advisers Operating Exclusively Through Internet -- SEC invites comment on proposed rule (by 10/2)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
investment-advisers
0
votes
0
answers
810
views
SEC Broker-Dealer Customer Protection Rule -- comments invited on proposed amendments (by 9/11)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
consumer-protection-rule
0
votes
0
answers
462
views
Definition of “Exchange” -- SEC invites comments on proposed rule (by 6/13)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
exchange
crypto
0
votes
0
answers
301
views
SEC Structured Data Reporting Requirements -- comments invited on proposed rule (by 5/22)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
edgar
0
votes
0
answers
359
views
SEC proposes 4 rule changes re securities markets tech reliability/cybersecurity -- comments invited (by 5/22, 6/5,13)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
cybersecurity
0
votes
0
answers
357
views
Safeguarding Advisory Client Assets -- SEC invites comments on proposed rule (by 5/8)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
354
views
SEC Prohibition of Conflicted Securizations--comment invited on proposed rule (by 3/27)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
securitization
0
votes
0
answers
395
views
Investment Company Interactive Data -- SEC invites comment (by 3/20)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
investment-company
0
votes
0
answers
941
views
SEC proposes substantive changes in 4 stock market rules--invites public comments (by 3/31)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
stock-market
0
votes
0
answers
493
views
Share Repurchase Disclosure Modernization--SEC seeks comment IRA excise tax impact on draft rule econ effects (by 1/11)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
share-repurchase
sec
0
votes
0
answers
357
views
Outsourcing by Investment Advisers -- SEC invites comments on proposed rule (by 12/27)
asked
1 year
ago
by
Andrew Reamer
(
58.3k
points)
sec
investment-advisers
0
votes
0
answers
393
views
SEC Proposes Enhancements to Open-End Fund Liquidity Framework -- comments invited (by 2/14)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
mutual-funds
0
votes
0
answers
345
views
SEC Industry Guides -- comment to OMB invited (by 11/28)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
572
views
Mutual Fund Performance Benchmarks' Impacts on Investor Decisions -- SEC invites comments on study (9.19.22)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
mutual-funds
0
votes
0
answers
607
views
SEC Adopts Pay vs. Performance Disclosure Rules (8.25.22)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
pay-vs-performance
0
votes
0
answers
637
views
SEC Publishes Draft FY2022-2026 Strategic Plan for Public Comment (by 9/29)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
320
views
SEC Proposes to Enhance Private Fund Reporting -- comments invited (by 10/10)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
452
views
SEC Proposes Rules on Clearing Agency Governance and Reducing Conflicts of Interest -- comments invited (by 10/7)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
402
views
Investment advising activities of index/model portfolio providers, pricing services -- SEC invites comments (by 8/16)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
627
views
SEC Proposes 2 ESG Investment Rules -- comments invited (by 8/16)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
esg
0
votes
0
answers
368
views
Security-based Swap Execution -- SEC invites comments on proposed rules (by 6/10)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
security-based-swap
0
votes
0
answers
424
views
SEC Proposes Rules for Registration/Regulation of Security-Based Swap Execution Facilities -- comments invited (by 6/10)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
swap-execution
0
votes
0
answers
363
views
SEC Proposes Rules for Special Purpose Acquisition Companies (SPACs)/Shell Companies -- comments invited (by 6/13)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
spacs
0
votes
0
answers
487
views
Elimination of Credit Rating References in SEC Regulations -- comments invited on proposed amdts (by 5/23)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
dodd-frank
credit-ratings
0
votes
0
answers
711
views
SEC Proposes Rules to Enhance/Standardize Climate-Related Disclosures for Investors -- comments invited (by 6/17)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
climate-risk
0
votes
0
answers
784
views
Alternative Trading Systems (ATSs) -- SEC invites comments on proposed rule revision (by 6/13)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
alternative-trading-systems
0
votes
0
answers
649
views
Short Position/Activity Reporting by Institutional Investment Mgrs -- SEC invites comments on proposed rule (by 4/26)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
short-sale
0
votes
0
answers
441
views
SEC Proposes Rules on Cybersecurity Risk Mgt, Strategy, Governance, Incident Disclosure -- comments invited (by 5/9)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
cybersecurity
0
votes
0
answers
657
views
SEC Proposes Short Sale Disclosure Rule -- invites comments (by 4/26)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
short-sale
0
votes
0
answers
746
views
Share Repurchase Disclosure Modernization -- SEC invites comments on proposed rule (by 4/1)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
share-repurchase
proposed-rule
0
votes
0
answers
757
views
Pay vs. Performance -- SEC invites comments on 2015 proposed rule (by 3/4)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
pay-vs-performance
dodd-frank
0
votes
0
answers
353
views
SEC Investor Advisory Committee -- academic nominations invited (1/19/22)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
0
votes
0
answers
455
views
Updating EDGAR Filing Requirements -- SEC invites comments on proposed rule (by 12/22)
asked
2 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
edgar
0
votes
0
answers
398
views
Broker-Dealer/Investment Adviser Digital Engagement Practices + Technology Use -- SEC seeks info (by 10/1)
asked
3 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
digital-engagement-practices
investment-advice
0
votes
0
answers
418
views
SEC invites public input on climate change disclosure rules and standards (by 6/14)
asked
3 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
climate-change
0
votes
0
answers
416
views
Money market funds -- SEC invites comments on proposed reform measures (by 4/12)
asked
3 years
ago
by
Andrew Reamer
(
58.3k
points)
sec
money-market-funds
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