Final Rule Releases

FinCEN is issuing final rules under the Bank Secrecy Act to clarify and strengthen customer due diligence requirements for: Banks; brokers or dealers in securities; ...

We are amending our rules in light of the statutory changes made by Title V and Title VI of the Jumpstart Our Business Startups Act ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations in connection with the terms for which counterparties must exchange and resolve discrepancies ...

In accordance with Section 764 of Title VII (“Title VII”) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Securities ...

The Commodity Futures Trading Commission is amending existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness of natural persons who are ...

The Commodity Futures Trading Commission (the “Commission” or the “CFTC”) is issuing a final rule to amend the limited trade options exemption in the Commission’s ...

The effective date for subpart U, which adds Form Funding Portal, was inadvertently omitted in the DATES section of the Federal Register. This correction adds ...

The Securities and Exchange Commission (‘‘Commission’’) is making a technical correction to its rules concerning Regulation Systems Compliance and Integrity (‘‘Regulation SCI’’) under the Securities Exchange ...

The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is amending Commission Regulation 1.35(a) to: Provide that all records required to be maintained under this regulation ...

The final rule, Regulation Crowdfunding, under the Securities Act of 1933 and the Securities Exchange Act of 1934 to implement the requirements of Title III ...