SEC Technical Amendments to Commission Forms

The SEC has issued a final rule making technical amendments to its commission forms. These amendments are administrative in nature and do not alter existing disclosure requirements or regulatory obligations for public companies, broker-dealers, or fund managers.

SEC Technical Amendments to Commission Rules and Forms

The SEC has issued a final rule making technical amendments to its existing rules and forms. This action is part of routine administrative updates to ensure clarity and accuracy in regulatory filings and procedures.

SEC Delegation of Authority to Director of Investment Management

The SEC has issued a final rule amending its delegation of authority to the Director of the Division of Investment Management. This rule clarifies and updates the specific functions and responsibilities that can be delegated to the Director. The changes are effective upon publication in the Federal Register.

SEC Technical Amendment to Delegation of Authority Rules

The SEC has adopted a technical amendment to its delegation of authority rules. This amendment corrects an outdated cross-reference in the rules that delegate authority to the Commission's staff to grant certain exemptions from Rule 612 of Regulation NMS.

SEC Proposes Amending Small Business Definitions for Investment Companies and Advisers

The SEC has proposed amendments to the definitions of 'small business' and 'small organization' for investment companies and advisers under the Regulatory Flexibility Act. The proposal aims to increase asset-based thresholds and establish a mechanism for future inflation adjustments. Public comments are due by March 13, 2026.

B338698 - Appellate Court Case Search Result

This document provides search results for appellate court case number B338698. It is a notification of case status within the court system. No new regulatory requirements or enforcement actions are detailed.

People v. J.C. - Case Opinion

The California Courts of Appeal have made available an opinion in the case of People v. J.C. This document represents a judicial decision and does not introduce new regulatory requirements for businesses.

People v. Zapata - Criminal Appeal

The California Court of Appeal, Fourth District, has made available its opinion in the criminal appeal case People v. Zapata, docket number D084024. This update pertains to a specific judicial proceeding and its published outcome.

Zenith Insurance Co. v. WCAB - Workers' Compensation Appeal

This document is a court case filing from the California Court of Appeal, Sixth District, involving Zenith Insurance Co. and the Workers' Compensation Appeals Board (WCAB). The case number is H052785. It represents a new legal proceeding within the state's workers' compensation system.

FINRA Proposed Rule Change to Amend Communications with the Public Rule

FINRA has filed a proposed rule change with the SEC to amend FINRA Rule 2210 concerning communications with the public. The amendment would permit members to project performance or provide targeted returns on investments, subject to specific conditions ensuring a sound basis for such projections.