Securities and Exchange Commission Content

The SEC's Investor Advisory Committee held a meeting on June 6, 2024, which featured a discussion on the draft recommendations of its Disclosure Subcommittee regarding the protection of self-directed investors when trading complex products and utilizing complex strategies. The meeting...

On May 16, 2024, the SEC unanimously adopted amendments to Rule 248.30 in Regulation S-P (the "amendments"). Since its adoption in 2000, Regulation S-P has required the safeguarding of customer records and information and the disposal of consumer report information.

Late last year, the Securities and Exchange Commission adopted final rules under the Securities Exchange Act of 1934 to improve the governance of clearing agencies registered with the Commission by reducing the likelihood of that conflicts of interest may influence the board of...

On April 3, 2024, the Securities and Exchange Commission announced that it settled charges against a registered investment adviser for failures to maintain and preserve certain electronic communications and enforce its code of ethics.

On March 6, 2024, the Securities and Exchange Commission adopted final rules on The Enhancement and Standardization of Climate-Related Disclosures for Investors. Following adoption, the Final Rules were subjected to a number of legal challenges. On April 4, 2024, the Commission issued...