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Searching Content indexed under Securities by Joseph Toner ordered by Published Date Descending.
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SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
On June 5, 2019, the Securities and Exchange Commission approved a package of rulemakings and interpretations designed to enhance the quality and transparency of investors' relationships...
United States
18 Jun 2019
2
SEC Proposes Amendments to the Whistleblower Program
In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program).
United States
16 Jul 2018
3
Exchange-Traded Funds: Proposed Rule 6c-11
After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking process, is seeking to simplify and streamline the regulatory process for new exchange-traded funds (ETFs) to reach the market, and to level the competitive playing field among existing ETFs.
United States
16 Jul 2018
4
Liquidity Management And Reporting Modernization Rulemaking
The Commission also voted to rescind Form N-SAR and replace it with new Form N-CEN.
United States
25 Oct 2016
5
SEC Proposes New Requirement For Business Continuity Plans For Investment Advisers
On June 28, 2016, the Securities and Exchange Commission ("SEC") proposed a rule that would require all SEC-registered investment advisers to adopt and implement a business continuity and transition plan.
United States
8 Jul 2016
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