Final Rule Releases

This is a final rule released by the SEC late in 2012 to extend the principal trading exception until Dec. 31, 2014.

This is a final rule adopted by the CFTC that would force commodity trading advisors (CTAs) and others to tape record conversations related to the ...

In this final rule, the CFTC makes changes to the Commodities Exchange Act to accommodate the changes due to the Dodd-Frank reform law that established ...

This rule sets forth the maximum, inflation-adjusted dollar amount for civil monetary penalties assessable for violations of the Commodity Exchange Act.

This is the SEC's list of firms that must file a new Form ADV or a withdrawal notice via Form ADV-W by Dec. 17, 2012 ...

This is a final rule released by the SEC in 2012 entitled Extension of Temporary Registration of Municipal Advisors that extends the temporary status through ...

This is a final rule from the CFTC in 2012 entitled Documentation Requirements for Swap Dealers and Major Swap Participants.

This is a final rule from the CFTC released in September 2012 entitled Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From ...