Final Rule Releases

This rule clarifies certain responsibilities of a swap dealer (SD) or major swap participant (MSP) regarding its employees who solicit, accept or effect swaps in ...

This is a 2013 SEC filing that raises the civil money penalties amounts.

This final rule revises the CFTC's Rules of Practice, Rules Relating to Reparation Proceedings, and its Rules Relating to Review of National Futures Association (NFA) ...

This is an interim final rule released by the SEC in 2013 that extends the exemption from certain security-based swap rules until Feb. 11, 2014.

This rule delegates certain Commission work to its general counsel.

This guidance from the CFTC, released in 2013, concerns cross-border application of the swap provisions of the Commodity Exchange Act.

This exemptive order from the CFTC, released in January 2013, would permit a non-U.S. person that registers as a swap dealer or major swap participant ...

This is final rule released by the SEC late in 2012. Although this Exchange Act rule 17AD-17 becomes effective in March 2013, the compliance date ...

The CFTC announces the deadline extension for certain compliance requirements for Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants. The new ...

This notice from the CFTC revises the model privacy form under Gramm-Leach-Bliley Act. It would be worth your time to go through this Federal Register ...