Recent questions tagged sec

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0 answers 55 views

SEC Enhancement & Standardization of Climate-Related Disclosures for Investors -- final rule (3.28.24)

asked 28 days ago by Andrew Reamer (56.3k points)

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0 answers 100 views

SEC Adopts Rules Regarding Climate-Related Disclosures for Investors (3.6.24)

asked 1 month ago by Andrew Reamer (56.3k points)

0 votes

0 answers 278 views

Safeguarding Advisory Client Assets -- SEC reopens invite to comment on proposed rule (by 10/30)

asked 7 months ago by Andrew Reamer (56.3k points)

0 votes

0 answers 216 views

Predictive Data Analytics Use by Broker-Dealers & Investment Advisers -- SEC invites comment on proposed rule (by 10/10)

asked 8 months ago by Andrew Reamer (56.3k points)

0 votes

0 answers 140 views

Investment Advisers Operating Exclusively Through Internet -- SEC invites comment on proposed rule (by 10/2)

asked 8 months ago by Andrew Reamer (56.3k points)

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0 answers 357 views

SEC Broker-Dealer Customer Protection Rule -- comments invited on proposed amendments (by 9/11)

asked 9 months ago by Andrew Reamer (56.3k points)

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0 answers 312 views

Definition of “Exchange” -- SEC invites comments on proposed rule (by 6/13)

asked 11 months ago by Andrew Reamer (56.3k points)

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0 answers 206 views

SEC Structured Data Reporting Requirements -- comments invited on proposed rule (by 5/22)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 277 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 (56.3k points)

0 votes

0 answers 273 views

Safeguarding Advisory Client Assets -- SEC invites comments on proposed rule (by 5/8)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 263 views

SEC Prohibition of Conflicted Securizations--comment invited on proposed rule (by 3/27)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 273 views

Investment Company Interactive Data -- SEC invites comment (by 3/20)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 797 views

SEC proposes substantive changes in 4 stock market rules--invites public comments (by 3/31)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 412 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 (56.3k points)

0 votes

0 answers 269 views

Outsourcing by Investment Advisers -- SEC invites comments on proposed rule (by 12/27)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 321 views

SEC Proposes Enhancements to Open-End Fund Liquidity Framework -- comments invited (by 2/14)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 259 views

SEC Industry Guides -- comment to OMB invited (by 11/28)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 426 views

Mutual Fund Performance Benchmarks' Impacts on Investor Decisions -- SEC invites comments on study (9.19.22)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 518 views

SEC Adopts Pay vs. Performance Disclosure Rules (8.25.22)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 542 views

SEC Publishes Draft FY2022-2026 Strategic Plan for Public Comment (by 9/29)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 243 views

SEC Proposes to Enhance Private Fund Reporting -- comments invited (by 10/10)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 343 views

SEC Proposes Rules on Clearing Agency Governance and Reducing Conflicts of Interest -- comments invited (by 10/7)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 321 views

Investment advising activities of index/model portfolio providers, pricing services -- SEC invites comments (by 8/16)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 523 views

SEC Proposes 2 ESG Investment Rules -- comments invited (by 8/16)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 288 views

Security-based Swap Execution -- SEC invites comments on proposed rules (by 6/10)

asked 1 year ago by Andrew Reamer (56.3k points)

0 votes

0 answers 342 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 (56.3k points)

0 votes

0 answers 297 views

SEC Proposes Rules for Special Purpose Acquisition Companies (SPACs)/Shell Companies -- comments invited (by 6/13)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 386 views

Elimination of Credit Rating References in SEC Regulations -- comments invited on proposed amdts (by 5/23)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 616 views

SEC Proposes Rules to Enhance/Standardize Climate-Related Disclosures for Investors -- comments invited (by 6/17)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 600 views

Alternative Trading Systems (ATSs) -- SEC invites comments on proposed rule revision (by 6/13)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 548 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 (56.3k points)

0 votes

0 answers 368 views

SEC Proposes Rules on Cybersecurity Risk Mgt, Strategy, Governance, Incident Disclosure -- comments invited (by 5/9)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 579 views

SEC Proposes Short Sale Disclosure Rule -- invites comments (by 4/26)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 660 views

Share Repurchase Disclosure Modernization -- SEC invites comments on proposed rule (by 4/1)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 646 views

Pay vs. Performance -- SEC invites comments on 2015 proposed rule (by 3/4)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 290 views

SEC Investor Advisory Committee -- academic nominations invited (1/19/22)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 374 views

Updating EDGAR Filing Requirements -- SEC invites comments on proposed rule (by 12/22)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 320 views

Broker-Dealer/Investment Adviser Digital Engagement Practices + Technology Use -- SEC seeks info (by 10/1)

asked 2 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 349 views

SEC invites public input on climate change disclosure rules and standards (by 6/14)

asked 3 years ago by Andrew Reamer (56.3k points)

0 votes

0 answers 358 views

Money market funds -- SEC invites comments on proposed reform measures (by 4/12)

asked 3 years ago by Andrew Reamer (56.3k points)

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