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In determining the disclosure rules, the Act authorizes the SEC to do "investor testing" and rely on experts to study financial literacy among retail investors. [7] Subtitle A provides authority for the SEC to impose regulations requiring "fiduciary duty" by broker-dealers and investment advisers to their customers.
There are also extensive regulations under these laws, largely made by the SEC. One of the most famous and often used SEC rules is Rule 10b-5, which prohibits fraud in securities transactions as well as insider trading. Interpretations under rule 10b-5 often deem silence to be fraudulent in certain circumstances.
The SEC may classify issuers and prescribe requirements appropriate for each class of issuers of asset-backed securities. [103] The SEC must also adopt regulations requiring each issuer of an asset-backed security to disclose, for each tranche or class of security, information that will help identify each asset backing that security. [104]
Good morning. The CFO’s office plays a vital role in compliance with the U.S. Securities and Exchange Commission’s (SEC) mandate to standardize climate-risk disclosures. Under the rules ...
The decision is a fresh blow for the SEC and Chair Gary Gensler, as industry groups turn often to conservative-leaning courts to challenge rules they say carry needless red tape and compliance ...
Deregulation has been one of the great Trump-administration success stories. So why does the Securities and Exchange Commission want more cumbersome rules that will restrict investor choices? A ...
In Rules 504 and 505, Regulation D implements §3(b) of the Securities Act of 1933 (also referred to as the '33 Act), which allows the SEC to exempt issuances of under $5,000,000 from registration. It also provides (in Rule 506) a "safe harbor" under §4(a)(2) of the '33 Act (which says that non-public offerings are exempt from the registration ...
The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [8]To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures.