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Recent questions tagged sec
0
votes
0
answers
11
views
SEC Prohibition of Conflicted Securizations--comment invited on proposed rule (by TBD)
asked
1 day
ago
by
Andrew Reamer
(
38.1k
points)
sec
securitization
0
votes
0
answers
31
views
Investment Company Interactive Data -- SEC invites comment (by 3/20)
asked
8 days
ago
by
Andrew Reamer
(
38.1k
points)
sec
investment-company
0
votes
0
answers
294
views
SEC proposes substantive changes in 4 stock market rules--invites public comments (by 3/31)
asked
1 month
ago
by
Andrew Reamer
(
38.1k
points)
sec
stock-market
0
votes
0
answers
88
views
Share Repurchase Disclosure Modernization--SEC seeks comment IRA excise tax impact on draft rule econ effects (by 1/11)
asked
1 month
ago
by
Andrew Reamer
(
38.1k
points)
share-repurchase
sec
0
votes
0
answers
61
views
Outsourcing by Investment Advisers -- SEC invites comments on proposed rule (by 12/27)
asked
2 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
investment-advisers
0
votes
0
answers
128
views
SEC Proposes Enhancements to Open-End Fund Liquidity Framework -- comments invited (by 2/14)
asked
2 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
mutual-funds
0
votes
0
answers
88
views
SEC Industry Guides -- comment to OMB invited (by 11/28)
asked
2 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
112
views
Mutual Fund Performance Benchmarks' Impacts on Investor Decisions -- SEC invites comments on study (9.19.22)
asked
4 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
mutual-funds
0
votes
0
answers
317
views
SEC Adopts Pay vs. Performance Disclosure Rules (8.25.22)
asked
5 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
pay-vs-performance
0
votes
0
answers
305
views
SEC Publishes Draft FY2022-2026 Strategic Plan for Public Comment (by 9/29)
asked
5 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
100
views
SEC Proposes to Enhance Private Fund Reporting -- comments invited (by 10/10)
asked
5 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
130
views
SEC Proposes Rules on Clearing Agency Governance and Reducing Conflicts of Interest -- comments invited (by 10/7)
asked
5 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
137
views
Investment advising activities of index/model portfolio providers, pricing services -- SEC invites comments (by 8/16)
asked
7 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
273
views
SEC Proposes 2 ESG Investment Rules -- comments invited (by 8/16)
asked
8 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
esg
0
votes
0
answers
99
views
Security-based Swap Execution -- SEC invites comments on proposed rules (by 6/10)
asked
8 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
security-based-swap
0
votes
0
answers
115
views
SEC Proposes Rules for Registration/Regulation of Security-Based Swap Execution Facilities -- comments invited (by 6/10)
asked
9 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
swap-execution
0
votes
0
answers
124
views
SEC Proposes Rules for Special Purpose Acquisition Companies (SPACs)/Shell Companies -- comments invited (by 6/13)
asked
9 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
spacs
0
votes
0
answers
146
views
Elimination of Credit Rating References in SEC Regulations -- comments invited on proposed amdts (by 5/23)
asked
9 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
dodd-frank
credit-ratings
0
votes
0
answers
379
views
SEC Proposes Rules to Enhance/Standardize Climate-Related Disclosures for Investors -- comments invited (by 6/17)
asked
10 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
climate-risk
0
votes
0
answers
212
views
Alternative Trading Systems (ATSs) -- SEC invites comments on proposed rule revision (by 6/13)
asked
10 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
alternative-trading-systems
0
votes
0
answers
302
views
Short Position/Activity Reporting by Institutional Investment Mgrs -- SEC invites comments on proposed rule (by 4/26)
asked
10 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
short-sale
0
votes
0
answers
154
views
SEC Proposes Rules on Cybersecurity Risk Mgt, Strategy, Governance, Incident Disclosure -- comments invited (by 5/9)
asked
10 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
cybersecurity
0
votes
0
answers
358
views
SEC Proposes Short Sale Disclosure Rule -- invites comments (by 4/26)
asked
11 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
short-sale
0
votes
0
answers
363
views
Share Repurchase Disclosure Modernization -- SEC invites comments on proposed rule (by 4/1)
asked
11 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
share-repurchase
proposed-rule
0
votes
0
answers
423
views
Pay vs. Performance -- SEC invites comments on 2015 proposed rule (by 3/4)
asked
11 months
ago
by
Andrew Reamer
(
38.1k
points)
sec
pay-vs-performance
dodd-frank
0
votes
0
answers
111
views
SEC Investor Advisory Committee -- academic nominations invited (1/19/22)
asked
1 year
ago
by
Andrew Reamer
(
38.1k
points)
sec
0
votes
0
answers
176
views
Updating EDGAR Filing Requirements -- SEC invites comments on proposed rule (by 12/22)
asked
1 year
ago
by
Andrew Reamer
(
38.1k
points)
sec
edgar
0
votes
0
answers
126
views
Broker-Dealer/Investment Adviser Digital Engagement Practices + Technology Use -- SEC seeks info (by 10/1)
asked
1 year
ago
by
Andrew Reamer
(
38.1k
points)
sec
digital-engagement-practices
investment-advice
0
votes
0
answers
195
views
SEC invites public input on climate change disclosure rules and standards (by 6/14)
asked
1 year
ago
by
Andrew Reamer
(
38.1k
points)
sec
climate-change
0
votes
0
answers
204
views
Money market funds -- SEC invites comments on proposed reform measures (by 4/12)
asked
1 year
ago
by
Andrew Reamer
(
38.1k
points)
sec
money-market-funds
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