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 Announces Departure of Acting Enforcement Director Sanjay Wadhwaon January 17, 2025 at 10:02 pm
The Securities and Exchange Commission today announced that Sanjay Wadhwa, the Acting Director of the Division of Enforcement, will depart the agency, effective January 31, 2025, after more than 21 years of service with the Commission. “I thank […]
- SEC Charges Arete Wealth Broker-Dealer and Advisory Firms, Their Chief Compliance Officer, and Several Representatives in Connection With Illegal...on January 17, 2025 at 10:00 pm
The Securities and Exchange Commission today announced charges against Joey Miller, Jeff Larson, and Randy Larson, formerly dually registered personnel with Arete Wealth Management LLC, a broker-dealer, and Arete Wealth Advisors LLC, an affiliated…
- SEC Announces Record Enforcement Actions Brought in First Quarter of Fiscal Year 2025on January 17, 2025 at 9:06 pm
The Securities and Exchange Commission today announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from October through December 2024, including 118 standalone…
- SEC Announces Departure of Public Affairs Head Scott Schneideron January 17, 2025 at 7:58 pm
The Securities and Exchange Commission today announced the departure of Scott Schneider, a counselor to Chair Gary Gensler and Director of the Office of Public Affairs (OPA), effective next month. Mr. Schneider has served in the role since April 19, […]
- SEC Policy Director Corey Klemmer to Step Downon January 17, 2025 at 6:20 pm
The Securities and Exchange Commission today announced that Corey Klemmer will step down from her role as Policy Director, a role she has held since May 2024. She joined the SEC as Corporation Finance Counsel to Chair Gary Gensler in July 2021. […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con January 19, 2025 at 10:34 pm
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents