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 Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transactionon September 18, 2023 at 1:10 pm
The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale of approximately $424 million worth of private shares of Lyft’s stock prior to the company’s […]
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investorson September 15, 2023 at 1:34 pm
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 29 soliciting entities, three impersonators of genuine firms, […]
- SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Pickingon September 14, 2023 at 8:48 pm
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan Vincent Glenn, for allocating profitable securities trades to favored […]
- SEC Proposes Improvements to EDGAR Filer Access and Account Managementon September 13, 2023 at 8:20 pm
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the SEC’s EDGAR system. The proposed amendments would require EDGAR filers to authorize identified individuals […]
- SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTson September 13, 2023 at 2:00 pm
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in the form of purported non-fungible tokens (NFTs) that raised approximately $8 million from investors […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 18, 2023 at 11:39 am
Proxy Rules and Schedules 14A/14C
- Sample Letter to Companies Regarding Their XBRL Disclosureson September 7, 2023 at 9:30 pm
The illustrative letter contains sample comments that, depending on the particular facts and circumstances, and type of filing under review, the Division may issue to certain companies.
- Exchange Act Form F-SRon August 30, 2023 at 10:00 pm
Section 113. Form F-SR
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on August 25, 2023 at 4:40 pm
Question 120.29
- Section 133A. Item 408 b - Insider Trading Arrangements and Policieson August 25, 2023 at 4:40 pm
Question 135.04