Proposed Rules

The amendments would integrate existing advisory guidance and the amendments to part 9 would also incorporate swap execution facilities (‘‘SEFs’’) and update provisions currently applicable ...

The proposed amendments would implement Title LXXXVI of the FAST Act and make associated changes to the Commission’s regulations governing the grant of access to ...

The proposed amendments would permit recordkeepers to leverage advances in information technology as a means to reduce costs associated with the retention and production of ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to adopt new regulations and to amend existing regulations to implement sections 4s(e) and (f) ...

The reproposal would establish speculative position limits for 25 exempt and agricultural commodity futures and option contracts, and physical commodity swaps that are “economically equivalent” ...

We are proposing amendments to the federal proxy rules to require the use of universal proxies in all non-exempt solicitations in connection with contested elections ...

The Proposed Rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration ...

The Securities and Exchange Commission (“SEC” or “Commission”) proposes to amend the definition of “covered clearing agency” under Rule 17Ad-22 to mean a registered clearing ...

The Securities and Exchange Commission (“Commission”) proposes to amend Rule 15c6-1(a) under the Securities Exchange Act of 1934 (“Exchange Act”) to shorten the standard settlement ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make ...