Final Rule Releases

This is the main SEC rule affecting investment advisers due to the Dodd-Frank reform law. This was passed in June 2011 and appeared in the ...

This interim final rule from July 2011 provides exemptions for security-based swaps due to Dodd-Frank.

This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...

This is the SEC final rule from June 2011 that spells out exemptions for venture capital funds, private fund advisers with fewer than $150 million ...

This is the SEC's final rule under the Exchange Act expanding the agency's whistleblower program in accordance with Congress's wishes under Dodd-Frank. This was released ...

This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.

This is the SEC's extension of the principal trading rule. This rule would sunset in 2013.

The SEC's 2010 release adjusting fees for IARD filings.