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Final Rule Releases
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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
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