Final Rule Releases

This final rule from the SEC in 2013 would prevent so-called “bad actors” from taking advantage of new freedoms to advertise general solicitations of private ...

This rule includes new Dodd-Frank regulations that apply to the registration and operation of a new type of regulated entity named a swap execution facility. ...

This CFTC regulations defines the criteria for grouping swaps into separate swap categories and establish methodologies for setting appropriate minimum block sizes for each swap ...

This SEC rule is designed to protect against a client's identity being stolen

This final rule acknowledges the end of the CFTC's Division of Clearing and Intermediary Oversight and the reassigning of its staff and responsibilities to the ...

This rule permitted the CFTC to delegate its authority to staff concerning the disclosure of information to self regulatory organizations created in the wake of ...

This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.

This rule corrects a compliance date.

This final rule makes some corrections to swap dealer regulations.

This rule adopts regulations to make clear that each swap dealer (SD), major swap participant (MSP), and other Commission registrant with whom an associated person ...