New U.S. Securities and Exchange Commission guidance on disclosure requirements for exchange-traded products tied to ...

When the SEC initially adopted the updated Names Rule in 2023, the largest funds previously had until Dec. 11, 2025 to comply, with smaller funds due to comply six months after.

Nearly a year after a fatal shooting that put day traders on edge, the Securities and Exchange Commission approves a rule requiring some brokerage firms to disclose day trading's financial risk ...

Why Cyber Teams Struggle With Quick Disclosure. Despite the SEC's mandate, many companies can’t meet the four-day disclosure deadline. Fifty-two percent of companies don’t have a formal ...

The rule comes after last year’s controversial finish to last season’s game between Missouri and Kentucky. In that game the Tigers were called for roughing-the-kicker late in the game, and the ...

The SEC approved the rule last week as a way to regulate the hedge fund and private equity industry more closely and require more disclosures and audited financial statements of each of their funds .

In general, the rule will mandate that entities that experience a cybersecurity incident determine whether it will have a material impact on them, and if it will, they must then fill out the new Item ...

The SEC's current custody rule, added to the Investment Advisers Act in 1962, seeks to provide another layer of investor protection by placing third-party custodians in a position to detect any ...

Analysis SEC Cybersecurity Rules Go Live in Days. Companies Still Aren't Sure What to Expect "Companies are faced with this conundrum of wanting to provide more detail but not wanting to give too ...

The following sections summarize some of the highlights in the SEC’s 186-page new rules slated for publication in the Federal Register over the coming days:. Incident disclosure. The Commission ...

The deadline for compliance with a new SEC marketing rule is fast approaching, and because of the way the SEC has rolled it out, enforcement of the new definition of an advertisement and compliance ...