SEC.gov | Rules and Regulations
WEBAug 14, 2024 · See an index of various SEC proposed and final rules as well as other Commission releases and notices related to our regulatory obligations under the federal securities laws.
SEC.gov | Rules and Regulations for the Securities and Exchange ...
WEBForm and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975
Statutes and Regulations - SEC.gov
WEBThe legislation set out to reshape the U.S. regulatory system in a number of areas including but not limited to consumer protection, trading restrictions, credit ratings, regulation of financial products, corporate governance and disclosure, and transparency.
SEC.gov | Laws and Rules
WEBMay 13, 2020 · The Rulemaking Office reviews and considers whether the Commission should propose, adopt, or amend rules and forms under the Investment Company Act, the Investment Advisers Act, and other federal securities laws that affect the asset management industry.
SEC.gov | Home
WEBSEC Rulemaking. The SEC engages in rulemaking through a transparent process guided by the Administrative Procedure Act and informed by public comment. Members of the public are invited to share comments on proposed rulemakings.
SEC.gov | Statement on Amendments to Tick Sizes, Access Fees, …
WEB2 days ago · See Commissioner Caroline A. Crenshaw, Statement on Proposals Related to Equity Market Structure (Dec. 14, 2022); see also Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders, Release No. 34-96494 (Dec. 14, 2022) at Section II.E (summarizing various proposals).
Rulemaking Activity - SEC.gov
WEB2 days ago · Rulemaking Activity. This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission. Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in ...
SEC Adopts Rules to Amend Minimum Pricing Increments and …
WEB2 days ago · The Securities and Exchange Commission today adopted amendments to certain rules under Regulation NMS to adopt an additional minimum pricing increment, or “tick size,” for the quoting of certain NMS stocks, reduce the access fee caps for protected quotations of trading centers, increase the transparency of exchange fees and rebates, and accelerate the implementation of rules that will make ...
SEC Adopts Modernized Regulatory Framework for Derivatives …
WEBOct 28, 2020 · The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as well as business development companies.
SEC.gov | Statement on Minimum Price Increments, Access Fee …
WEB2 days ago · On January 26, 1978, the Commission adopted Rule 11Ac1-1 under the Exchange Act to require every national securities exchange and national securities association to establish and maintain policies and procedures to collect, process, and make available quotations and requested the self-regulatory organizations to create a unified data stream of these quotations (Securities Exchange Act Release ...