This is the 2011 final rule from the SEC laying down the rules for advisers to private funds, some commodity pool operators and trading advisers ...
This is the SEC's decision in 2011 on what to charge exempt-reporting and private fund advisers to report via IARD their Form ADV and Form ...
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This is the CFTC's large trader reporting rule from 2011. It affects physical commodity swaps.
This final rule and interpretation deals with regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions) and makes ...
This Dodd-Frank-inspired regulation establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).
This final rule from the CFTC establishes a framework for the submission of new products, rules, and rule amendments by designated contract markets (DCMs), derivatives ...
This CFTC final rule removes credit rating references from Commission regulations. This Dodd-Frank reform targets futures commission merchants (FCMs), derivatives
clearing organizations (DCOs) and commodity pool ...
These new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.