Final Rule Releases

This final rule, released in 2012, grows out of Dodd-Frank and lays out a process for submitting security-based swaps to the SEC for review.

This correction fixes an earlier regulation regarding Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management, and Core Principles and Other ...

These new regulations, called for by Dodd-Frank, create new or amended rules, guidance, and acceptable practices that apply to the designation and operation of contract ...

This final rule extended the compliance deadline for the portion of the SEC's pay-to-play rule relating to the ban on third-party solicitation, but only for ...

This is a joint SEC-CFTC rule, promulgated in 2012 from Dodd-Frank reforms, that sets out definitions for key terms. These include swap dealer, security-based swap ...

This technical correction to the SEC's pay-to-play rule, published in May 2012, makes clear that covered associate refers to applies to an individual and not ...

This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.

This is a final rule released by the CFTC in 2012 entitled Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission ...

These are technical amendments to the accredited investor standard under Regulation D.