Final Rule Releases

The SEC extends temporary Investment Adviser rule 206(3)-3T (principal trade) through 2016.

The Commission is adopting new Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (Exchange Act) and conforming amendments to ...

This is a final rule promulgated in 2014 by six federal agencies, including the SEC. It targets the securitization of mortgages, and was mandated by ...

This final rule amends Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities. The final rules require that, with ...

This final rule from 2014 revises "Regulation AB and other rules governing the offering process, disclosure, and reporting for asset-backed securities" (ABS). It requires prospectuses ...

This correction amends erroneous cross-references found in three sections of the final CFTC rules for FCMs and DCOs.

This is the final rule passed by the SEC in 2014 that brings reforms like a floating NAV and the imposition of fees and gates ...

This is a final rule from the SEC released in 2014 entitled Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border ...

This is a correction of an earlier rule that put in place risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, ...