This is the SEC's 2013 proposal related to the JOBS Act that would set up a regime for crowdfunding, offered by broker-dealers and so-called “funding ...
This final rule from 2013 gives registered investment companies that are dually-registered with the SEC and with the CFTC as a commodity pool operator the ...
This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.
This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...
This final rule from the SEC in 2013 would prevent so-called “bad actors” from taking advantage of new freedoms to advertise general solicitations of private ...
This rule includes new Dodd-Frank regulations that apply to the registration and operation of a new type of regulated entity named a swap execution facility. ...
This CFTC regulations defines the criteria for grouping swaps into separate swap categories and establish methodologies for setting appropriate minimum block sizes for each swap ...
This final rule acknowledges the end of the CFTC's Division of Clearing and Intermediary Oversight and the reassigning of its staff and responsibilities to the ...
This rule permitted the CFTC to delegate its authority to staff concerning the disclosure of information to self regulatory organizations created in the wake of ...
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.