Final Rule Releases

We are adopting amendments to modernize Rule 147 under the Securities Act of 1933, which provides a safe harbor for compliance with the Section 3(a)(11) ...

The Securities and Exchange Commission is adopting new rules, a new form and amendments to a rule and forms designed to promote effective liquidity risk ...

The Securities and Exchange Commission is adopting new rules and forms as well as amendments to its rules and forms to modernize the reporting and ...

The Securities and Exchange Commission is adopting amendments to rule 22c-1 under the Investment Company Act to permit a registered open-end management investment company (“open-end ...

The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is adopting amendments to Rule 17Ad–22 and adding new Rule 17Ab2–2 pursuant to Section 17A of the Securities ...

The Commodity Futures Trading Commission (Commission or CFTC) is adopting an amendment to Commission regulation 50.4(a) to expand the existing clearing requirement for interest rate ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting final rules amending its current system safeguards rules for designated contract markets, swap execution facilities, and ...

The Commodity Futures Trading Commission (“Commission”) is adopting enhanced requirements for testing by a derivatives clearing organization (“DCO”) of its system safeguards, as well as ...

The Securities and Exchange Commission (the “Commission” or “SEC”) is adopting amendments to Form ADV that are designed to provide additional information regarding advisers, including ...

Pursuant to section 763(i) of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), the Securities ...