Final Rule Releases

This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are ...

The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.

The amendments are intended to clarify, simplify and enhance the utility of those regulations for registered entities, market participants and the Commission

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...

The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes

This is FinCEN's amendment to the Bank Secrecy Act to require IAs to develop and implement AML programs

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

This new FinCEN rule, which takes effect in 2026, would require most investment advisers to create AML programs and to report suspicious activity to FinCEN

The SEC finalizes this rule that adjusts for inflation the dollar threshold used in defining a “qualifying venture capital fund”

This CFTC final rule, which becomes effective Sept. 16, would permit a foreign board of trade (FBOT) registered with the Commission to provide direct access ...