Comment on SEC Rulemaking

The Securities and Exchange Commission wants to hear from you! We want your input on Commission proposals and other pertinent issues and topics. We want to know what information is important to you, the investor.

Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

Please share your views about a joint proposal by the SEC and the Department of Treasury to implement Section 326 of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 with regard to certain investment advisers.
Rule Details | Submit Your Comments

Qualifying Venture Capital Funds Inflation Adjustment

Please share your views about a Commission proposal that would update the dollar threshold for a fund to be considered a “qualifying venture capital fund” under the Investment Company Act of 1940.
Rule Details | Submit Your Comments