Final Rule Releases

This final rule permits a non-U.S. CPO to avoid CFTC registration, including basing the exemption on "a pool-by-pool basis" and laying out a safe harbor ...

The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...

The agencies note that the effective date for the 2020 amendments is unchanged and continues to be October 1, 2020

"we are adopting an expedited review process for routine applications, an informal internal procedure for applications that would not qualify for the expedited process, and ...

A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...

The Commission proposed that the term “foreign branch” would mean an office of a U.S. person that is a bank that: (1) is located outside ...

Every year, retail investors, institutional investors, and investment advisers face decisions on whether and how to vote on a significant number of matters that are ...

The Commission is issuing the Interim Final Rule to amend the CFTC Margin Rule by deferring for one year to September 1, 2021, compliance with ...

Rule targets business development companies and other closed-end investment companies

Post-trade name give-up may still be necessary to accommodate trading mechanisms and infrastructures currently used for U.S. Treasury swap spreads that do not allow for ...