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News
First Amendment Sense and Sensibilities: Statement on Proposed Rescission of Pay-to-Play Rule
4+ day, 14+ hour ago (308+ words) Today, the Commission proposed to rescind Investment Advisers Act rule 206(4)-5, the investment adviser “Pay-to-Play Rule.” I am thrilled that we are proposing to eliminate rather than simply amend the rule, which always has bothered my First Amendment sensibilities.[1] Political speech…...
Statement on Proposal to Rescind “Pay-to-Play” Rule
4+ day, 14+ hour ago (182+ words) However, since its adoption, it has proven only to be needlessly penalizing, burdensome and complex to implement, and misaligned with the SEC’s mandate. To that end, our proposal would rescind the political contribution rule in its entirety and amend the…...
Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act
4+ day, 14+ hour ago (399+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Proposed Rescission of Rule 206(4)-5 under the Investment Advisers Act Sixteen years ago, the Commission adopted Rule 206(4)-5 under the Investment Advisers Act (“Advisers…...
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
4+ day, 12+ hour ago (317+ words) The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years… Official websites use.gov Secure.gov websites use HTTPS…...
SEC Investor Advisory Committee to Host Sept. 10 Meeting
4+ day, 18+ hour ago (129+ words) Washington D.C., Sept. 3, 2026 — The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the…...
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
6+ day, 13+ hour ago (419+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from…...
SEC Proposes to Modernize Rules for Registered Transfer Agents
6+ day, 18+ hour ago (147+ words) Washington D.C., Sept. 1, 2026 — The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents. “This proposal would streamline and modernize the Commission’s rules to reflect transfer agents’ current processes and operations, including the…...
Statement on Proposed Amendments to the SEC’s Transfer Agent Rules
6+ day, 17+ hour ago (156+ words) It has been 40 years since the Commission last significantly updated its transfer agent rules.[1] In 2015, Commissioners Luis Aguilar and Dan Gallagher warned that the rules were already “anachronistic” and out of sync with industry practices.[2] They urged that critical reforms…...
Time to Transfer: Statement on Proposed Transfer Agent Rules
6+ day, 17+ hour ago (555+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section Time to Transfer: Statement on Proposed Transfer Agent Rules I am delighted that the transfer agent rule proposal is seeing the light of day…...
Statement on Extension of 2024 Form PF Amendments
1+ week, 15+ hour ago (25+ words) Paul S. Atkins, Chairman Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Extension of 2024 Form PF Amendments...