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
- Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapseon March 28, 2023 at 10:25 pm
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from […]
- SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraudon March 27, 2023 at 9:01 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…
- SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activityon March 23, 2023 at 4:40 pm
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered […]
- SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Playerson March 23, 2023 at 2:57 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a […]
- SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violationson March 22, 2023 at 7:53 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con March 29, 2023 at 4:28 pm
Proxy Rules and Schedules 14A/14C
- Update to Tender Offer Rules and Schedules C&DIson March 17, 2023 at 2:30 pm
Tender Offer Rules and Schedules
- Announcement Regarding Extension of EDGAR Filing Hours and Notice of End of Email Filing Option for Form 144on March 3, 2023 at 5:55 pm
EDGAR Filing Hours and Form 144
- Regulation S-K, Section 228D. Items 402(v) ? Pay Versus Performanceon February 10, 2023 at 10:00 pm
Question 228D.01
- Regulation S-K, Section 128D. Item 402(v) - Pay versus performanceon February 10, 2023 at 10:00 pm
Question 128D.01