Final Rule Releases

This new CFTC final rule requires a futures commission merchant to ensure a customer doesn't withdraw funds from its account with the FCM if the ...

The SEC adopts changes to the B-D net capital rule and customer protection rule to permit certain B-Ds that perform a daily reserve computation for ...

You must comply with these requirements in order for documents to be timely received and accepted

This final rule requires electronic filing on EDGAR using structured data, permits electronic signatures in certain broker-dealer filings and updates FOCUS reports

The CFTC amends its regs governing the types of investments that FCMs and DCOs may make with funds held for the benefit of customers engaging ...

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