Final Rule Releases

We are adopting amendments to the rule that defines a venture capital fund (rule 203(l)-1) and the rule that implements the private fund adviser exemption ...

We are adopting a rule under the Securities Act of 1933 (“Securities Act”) to provide that certain communications involving security-based swaps will not be deemed ...

The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain in their records ...

The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rule, concerning ...

The Securities and Exchange Commission (“SEC” or “Commission”) is adopting an amendment to Rule 146 under Section 18 of the Securities Act of 1933, as ...

The Commodity Futures Trading Commission (‘‘CFTC’’ or ‘‘Commission’’) is adopting final rules to establish a new delegation of authority to Commission staff under the Commission’s system ...

The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is adopting final rules to establish new and amend certain existing delegations of authority to Commission ...

The Commodity Futures Trading Commission (the “Commission”) is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions ...

The Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes ...

The Securities and Exchange Commission (the “Commission” or “SEC”) is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act") ...