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
- SEC Awards $20 Million to Whistlebloweron November 28, 2022 at 2:32 pm
The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action.In determining the appropriate award amount, the SEC […]
- SEC Publishes FY22-26 Strategic Planon November 23, 2022 at 5:05 pm
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse […]
- SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investmentson November 22, 2022 at 9:00 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and […]
- SEC Seeks to Stop the Registration of Misleading Crypto Asset Offeringson November 18, 2022 at 3:45 pm
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration […]
- SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Tradeson November 17, 2022 at 7:28 pm
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con November 29, 2022 at 9:15 pm
Proxy Rules and Schedules 14A/14C
- Tanla Platforms Limitedon November 17, 2022 at 10:10 pm
Response of the Office of Mergers and Acquisitions
- PagoNxt Merchant Solutions, S.L.on October 31, 2022 at 8:15 pm
Response of the Office of Mergers and Acquisitions
- Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G Beneficial Ownership Reportingon October 7, 2022 at 8:20 pm
Section 105. Rule 13d-3 - Determination of Beneficial Ownership
- Exchange Act Section 16 and Related Rules and Formson October 7, 2022 at 8:20 pm
Section 109. Rule 16a-1 - Definition of Terms