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New SEC Rules, Reports, and Studies

2019

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Risk Mitigation Techniques for Uncleared Security-Based Swaps (34-87782)Cross-Border Application of Certain Security-Based Swap Requirements (34-87780)Adoption of Updated EDGAR Filer Manual (33-10709)Solicitations of Interest Prior to a Registered Public Offering (33-10699)Exchange-Traded Funds (33-10695)Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers (34-87005)Technical Amendments to Update Cross-References to Commission’s FOIA Regulations (34-86982)Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice (34-86721)Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers (IA-5325)Amendments to Rules for Nationally Recognized Statistical Rating Organizations (34-86590)FAST Act Modernization and Simplification of Regulation S-K (33-10618) and Technical Correction (33-10618A)Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds (BHCA-6)Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers (34-86175)Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships (33-10648)Amendment to Single Issuer Exemption for Broker-Dealers (34-86073) Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser (IA-5249)Commission Interpretation Regarding Standard of Conduct for Investment Advisers (IA-5248) Adoption of Updated EDGAR Filer Manual (33-10645)Form CRS Relationship Summary; Amendments to Form ADV (34-86032)Regulation Best Interest: The Broker-Dealer Standard of Conduct (34-86031)Disclosure of Order Handling Information (34-84528; 34-85714)Public Company Accounting Oversight Board Hearing Officers (34-85437)Adoption of Updated EDGAR Filer Manual (33-10615)Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates (34-85287)