Final Rule Releases

We are adopting technical amendments to conform several rules and forms to amendments made to the Securities Act of 1933 (‘‘Securities Act’’) and the Securities ...

The Securities and Exchange Commission (“Commission”) is adopting an amendment to the Settlement cycle Rule (Rule 15c6-1(a)) under the Securities Exchange Act of 1934 (“Exchange ...

We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities Exchange ...

This rule sets forth the maximum, inflation adjusted dollar amount for civil monetary penalties (CMPs) assessable for violations of the Commodity Exchange Act (CEA) and ...

This adjustment will apply to all penalties imposed after the effective date of this final rule for violations after November 2, 2015. For violations that ...

This document is being published to correct language in that rule to more precisely reflect the holder of record threshold established by Exchange Act Section ...

This document makes technical corrections to a rule that was published in the Federal Register on May 10, 2016 (81 FR 28689). The Commission adopted ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is issuing a final rule to amend part 150 of the Commission’s regulations with respect to the ...

The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each person registered or required ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations regarding the timing for furnishing to the Commission the chief compliance officer (“CCO”) ...