The SEC interim final rule granting open-end funds additional time to comply with the liquidity risk management program's classification requirements under Investment Company Act Rule 22e-4...

The SEC adopted amendments to its rules of practice to (i) adjust the timing of hearings in administrative proceedings, (ii) allow for discovery depositions, (iii) clarify the rules for admitting hearsay and the assertion of affirmative defenses, and (iv) make certain other related amendments.

The SEC granted accelerated approval of the MSRB's proposal, as modified by Amendment No. 1, to amend MSRB Rule G-12 in order to mandate the closing out of failed inter-dealer transactions within a specified period.

The SEC proposal to amend Regulation S-K was published in the Federal Register. The proposed amendments would revise the description of business

SEC Proposes Changes To Regulatory Framework For "Fund Of Funds" Arrangements.

The SEC proposed to codify an existing exemption available to rating agencies with respect to their obligations under conflicts of interest.

An SEC proposal to facilitate the implementation of the Consolidated Audit Trail ("CAT") was published in the Federal Register. Comments on the proposal must be submitted by October 28, 2019.

The SEC's proposal to "simplify and streamline" the financial disclosure requirements under Regulation S-X ...

The SEC requested comments on a proposal that would require registrants to (i) include hyperlinks to exhibits in their filings, and (ii) submit all filings in Hypertext Markup Language ("HTML") format.

SEC-proposed amendments to the definitions of "accelerated filer" and "large accelerated filer" under Exchange Act Rule 12b-2 were published in the Federal Register. Comments must be submitted by July 29, 2019.

The SEC solicited comments on proposed amendments to Rules 600 and 606 of the Regulation National Market System...

SEC amendments to raise the disclosure threshold for non-reporting companies that provide securities to employees and other service providers through compensatory benefit plans...

The SEC requested comment on a proposal to require public companies and mutual funds to submit certain financial information using the Inline eXtensible Business Reporting Language format.

The SEC requested comments on an FINRA proposal that will extend the expiration date of FINRA Rule 0180 ("Application of Rules to Security-Based Swaps") to February 12, 2018.

The SEC requested comments on a FINRA-proposed rule change that requires alternative trading systems to include additional order sequence information on reports submitted in the Order Audit Trail System.

The SEC requested comments on amendments to Rule 12400 that would permit an attorney arbitrator to be eligible for the chairperson arbitrator role if that attorney had completed chairperson training...

The SEC solicited comments on a FINRA proposal to incorporate NASD Interpretive Material 2210-2 as FINRA Rule 2211 in the consolidated FINRA rulebook.

The SEC requested comments on FINRA proposal to amend FINRA Rule 6191 to modify certain data collection requirements of the Regulation National Market System Plan to Implement a Tick Size Pilot Program.

The SEC requested comments on an MSRB proposal to (i) delay reporting of information concerning underwriters of programs under the Stephen Beck, Jr., Achieving a Better Life Experience Act of 2014 (the "ABLE Act" and an "ABLE Program") pursuant to MSRB Rule G-45, and (ii) provide guidance on the applications of MSRB Rules G-42 and G-44 until August 29, 2018.

The SEC requested comments on MSRB-proposed draft amendments that would require municipal advisors to establish continuing education requirements for an associated person who is qualified as a municipal advisor representative or municipal advisor principal (see previous coverage).