SEC Rules and Regulations
Learn the basics of SEC Rules and Regulations with these helpful links about the SEC laws and rules and the Division of Investment Management. These articles are directly from the United States Government and explain the different acts that came about in 1940 regarding investment companies and advisors. Below you’ll find links for the Investment Advisors Act and the Investment Company Act. We also have links to important information from the Division of Investment Management including Topical Reference Guide, No-Action Letters and Information Updates. Don’t be left behind when it comes to the SEC. Stay up to date on the latest SEC Rules and Regulations with our help.
SEC Laws and Rules
Investment Advisers Act of 1940
Rules under the Investment Advisers Act of 1940
Investment Company Act of 1940
Rules under the Investment Company Act of 1940
Division of Investment Management
SEC NEWS
SEC NEWS
- YJ Fischer to Join SEC as Director of the Office of International Affairson July 22, 2021 at 8:29 pm
The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective Aug. 2. Ms. Fischer previously served in various roles at the U.S. State Department during […]
- SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companieson July 22, 2021 at 7:25 pm
The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged fraudulent offering of securities and misappropriation of investor assets by Outdoor Capital […]
- SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investorson July 22, 2021 at 5:45 pm
The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap fraud schemes targeting retail investors.According to the SEC’s complaint filed […]
- SEC Awards Nearly $3 Million to Whistlebloweron July 21, 2021 at 2:20 pm
The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.“The whistleblower alerted the SEC to previously unknown […]
- SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failureson July 21, 2021 at 12:35 pm
The Securities and Exchange Commission today announced that Fort Worth, Texas, specialty retailer Tandy Leather Factory Inc. and its former chief executive officer Shannon Greene have agreed to settle charges for accounting, reporting, and control…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Huntington Bancshares Incorporatedon June 24, 2021 at 10:45 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- BRP, Inc.on June 23, 2021 at 4:10 pm
Response of the Office of Mergers and Acquisitions
- Fidelity Covington Truston June 3, 2021 at 9:45 pm
Response of the Office of Mergers and Acquisitions
- Mphasis Limitedon May 28, 2021 at 9:30 pm
Response of the Office of Chief Counsel
- PG&E Fire Victim Truston May 28, 2021 at 7:50 pm
Response of the Office of Chief Counsel