Final Rule Releases

This final rule from the CFTC in 2013 tightens protections by strengthening risk management programs and deals with derivatives clearing organizations (‘DCOs’) and responsibility of ...

This rule applies Dodd-Frank requirements on swap dealers and major swap participants with respect to the treatment of collateral posted by their counterparties to margin, ...

These regulations clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in a clerical ...

This 2013 final rule from the SEC creates a regulatory regime for municipal advisors. This is a Dodd-Frank reform. Some investment advisers that are SEC-registered ...

This final rule from 2013 gives registered investment companies that are dually-registered with the SEC and with the CFTC as a commodity pool operator the ...

This 2013 rule from the SEC that requires broker-dealers to submit a new form tied to custody of assets.

This is a final rule released by the SEC in 2013 that outlines financial responsibilities for broker-dealers.

This is the SEC's final rule from 2013 removing the ban on solicitation for certain private fund offerings under rule 506.