Final Rule Releases

SEC commissioners approve final rule creating a "consistent and efficient rules-based regime for the formation, operation, and oversight of fund of funds arrangements"

This final rule relates to the execution of package transactions on swap execution facilities (“SEFs”) and the resolution of error trades on SEFs.

"As ESG investing has increased, it has engendered important and substantial questions with numerous observers identifying a lack of precision and consistency in the marketplace ...

After seven years, the CFTC is changing Form CPO-PQR because it doesn't use all of the data the form requires CPOs to submit

This final rule extends the compliance date for the CFTC's margin rule for smaller swap holders to 2021, and also moves the margin rule's final ...

"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...

Under the proposed amendment, a shareholder could satisfy any one of these thresholds to be eligible to submit a proposal

This minor correction notes that the final rule takes effect Nov. 13, 2020

This rule simplifies the framework for registered and exempt offerings; sets clear and consistent rules governing offering communications between issuers and investors; and harmonizes certain ...

This rule lays out a process for derivatives clearing organizations outside the U.S. and satisfy the CFTC's requirements based on several criteria