Proposed Rules

The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations to establish a regulatory framework within which the Commission may exempt a clearing ...

We are proposing amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered, and issuers’ affiliates whose securities ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend selected provisions of its regulations in order to simplify certain requirements for swap ...

The Commodity Futures Trading Commission (“CFTC” or “Commission”) is proposing to amend its position limits rules for security futures products (“SFPs”) by: (i) increasing the ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (‘‘SRO’’) financial surveillance ...

The Securities and Exchange Commission (“Commission”) is proposing for public comment several amendments to the Commission’s rules implementing its whistleblower program. Section 21F of the ...

The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (the “Investment Company Act” or the ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations governing the minimum standards for a self-regulatory organization’s (“SRO”) financial surveillance ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend the de minimis exception within the ‘‘swap dealer’’ definition in the Commission’s regulations by: ...

This is a proposed revision of the so-called Volcker rule.