These new regulations, called for by Dodd-Frank, create new or amended rules, guidance, and acceptable practices that apply to the designation and operation of contract ...
This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but only for ...
This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual and not ...
This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.
This is a final rule released by the CFTC in 2012 entitled Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission ...
These are technical amendments to the accredited investor standard under Regulation D.
The Commission adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd- Frank for entities registered ...
These rules prescribe external business conduct standards for swap dealers and major swap participants.
This is a 2012 final rule from the SEC amending the rules for performance-based fees by advisers, another change sparked by the Dodd-Frank reform law.