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 Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offeringson September 24, 2021 at 6:12 pm
The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners LTD LLC and Homebound Resources LLC, with making material misrepresentations and omissions in connection with more than […]
- SEC Awards Approximately $36 Million to Whistlebloweron September 24, 2021 at 2:59 pm
The Securities and Exchange Commission today announced an award of approximately $36 million to a whistleblower whose information and assistance significantly contributed to the success of an SEC enforcement action as well as actions by another […]
- SEC Charges World's Largest Advertising Group with FCPA Violationson September 24, 2021 at 12:58 pm
The Securities and Exchange Commission today announced that London-based WPP plc, the world's largest advertising group, has agreed to pay more than $19 million to resolve charges that it violated the anti-bribery, books and records, and internal…
- SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committeeon September 23, 2021 at 7:13 pm
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- SEC Charges Principals of Subprime Automobile Finance Company with Fraudon September 23, 2021 at 6:02 pm
The Securities and Exchange Commission today announced fraud charges against two former executives of a subprime automobile finance company for misleading investors about the subprime automobile loans that backed its $100 million offering.The […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Sample Letter to Companies Regarding Climate Change Disclosureson September 22, 2021 at 6:00 pm
Other Staff Guidance and Sample Comment Letters
- The Advisors' Inner Circle Fundon September 22, 2021 at 3:20 pm
Response of the Office of Mergers and Acquisitions
- Schwab Strategic Truston September 14, 2021 at 9:20 pm
Response of the Office of Mergers and Acquisitions
- 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