It's been almost a year, but it looks like the SEC is ready to issue its rule on political contributions by investment advisers. They announced the subject matter for the Wednesday June 30 10:00 am open meeting : The Commission will consider whether to adopt a new rule and related rule amendments...
In many instances, the Dodd-Frank Wall Street Reform and Consumer Protection Act
merely set a framework for financial reform and left much of the heavy lifting
to the financial regulatory agencies. The SEC published their agenda for the implementation of Dodd-Frank .
It is a long list. Compliance...
The SEC approved new rules proposed by the exchanges and FINRA
to ensure that market makers make real, meaningful quotes . In September the
SEC proposed rules governing short term borrowings to address what many call
"window dressing." The proposals are unrelated. Yet each raises the same...
If you are involved in the private placement of
securities, then you have been waiting to hear how the SEC was going to change
the definition of "accredited investor."
Section 413(a) of the Dodd-Frank Wall Street Reform and
Consumer Protection Act requires the definitions of "accredited...