Proposed Rules

The CFTC is extending its comment period on its proposed annual report rule change by two weeks to Sept. 20, 2016.

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (“Proposal”). The regulation that ...

The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered ...

The proposed amendments are intended to facilitate the disclosure of information to investors, while simplifying compliance efforts, without significantly altering the total mix of information provided ...

The Commodity Futures Trading Commission ("Commission") is proposing to amend Commission regulation § 3.10(c)(2) and (3). The proposed amendment would amend the conditions under which ...

We are proposing amendments to certain of our disclosure requirements that may have become redundant, duplicative, overlapping, outdated, or superseded, in light of other Commission ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Rules 600 and 606 of Regulation National Market System (“Regulation NMS”) under the ...

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

We are proposing amendments to the definition of “smaller reporting company” as used in our rules and regulations. The proposed amendments, which would expand the ...

The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend Commission Rule 50.4(a) to establish a new clearing requirement under the pertinent section ...