21,175 results found

The SEC stayed all outstanding administrative proceedings due to the federal government shutdown.

On March 13, 2020, the Securities and Exchange Commission (SEC) issued an order that provides relief to registered investment ...

The SEC extended the time to consider a proposed amendment to the Consolidated Audit Trail ("CAT") National Market System Plan.

The SEC proposed a new rule and form amendments to modernize the regulations surrounding exchange-traded funds (ETFs).

The SEC’s proposed changes to private offerings, including proposed changes to Form D, Form D filing requirements, and temporary requirements to submit general solicitation materials, already are generating comment.

Under the US Securities and Exchange Commission's proposed rule, publicly traded companies will have four days to report 'material cybersecurity incidents'.

The SEC proposed an amendment that would require submissions by public companies of their financial statements and mutual funds of their risk/return summaries to use the Inline eXtensible Business...

The SEC proposed amendments to certain forms in order to improve the reporting and disclosure of liquidity information by registered open-end investment companies, including a new requirement...

The SEC has proposed rule amendments that would require companies that file registration statements and periodic and current reports to include hyperlinks to each exhibit listed in the exhibit index of their filings.

The SEC proposed rule and form amendments that would require registrants to include internet hyperlinks to exhibits in their filings.

On February 9, the SEC issued proposed rules that are intended to enhance disclosure of company hedging policies for directors and employees, as mandated by Dodd-Frank.

The proposed rules would also require disclosure of listed companies' recovery policies, and their actions under those policies.

The SEC has proposed a rule amendment to shorten the standard settlement cycle for most broker-dealer securities transactions...

The SEC proposed that issuers would be required to include hyperlinks to their exhibits in their filings with the goal of making it easier to locate documents that are filed as exhibits.

On June 4, the Securities and Exchange Commission provided additional analysis related to its proposed rules for pay ratio disclosure.

The SEC Division of Corporation Finance provided guidance to issuers of ABS regarding certain programming changes to the EDGAR system that have been made to support recently adopted revisions...

The SEC Division of Corporation Finance provided interpretive guidance that confirmed that a registered broker-dealer and investment adviser's proposed procedures...