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Final Rule Releases
On November 2, 2012, the Commodity Futures Trading Commission revised its rules. That document inadvertently failed to remove several obsolete provisions in the regulation. This ...
The CFTC is amending the Commission’s regulations relating to access to swap data held by swap data repositories (‘‘SDRs’’). The amendments implement pertinent provisions of ...
The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will provide ...
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is making technical amendments to certain rules of organization and rules of practice to indicate that Commission
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Amendments to forms and schedules to remove provision of certain personally identifiable information
We are adopting revisions to forms filed under the Securities Exchange Act of 1934 (“Exchange Act”) to eliminate the portion of those forms that requests ...
The Commodity Futures Trading Commission (Commission) is amending Rule 143.8, its rule that governs the maximum amount of civil monetary penalties, to adjust for inflation. ...
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for classification, highly ...
The Commodity Futures Trading Commission (the “Commission”) is amending its primary definitions regulation to make it more user-friendly both to industry and the public. Specifically, ...
This document makes a technical correction to a form amendment that was published in the Federal Register on July 1, 1997 (62 FR 35338). The ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting certain amendments to its rules that, respectively, govern registration of intermediaries and relate to the ...