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Proposed Rules
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing revisions and additions to regulations and guidance proposed in 2013 concerning speculative position limits in ...
The OCC, Board, FDIC, FHFA, NCUA, and SEC (the Agencies) are seeking comment on a joint proposed rule (the proposed rule) to revise the proposed ...
The proposed rule would expand and clarify the exemptions for certain U.S. persons with signature or other authority over foreign financial accounts. In addition, the ...
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer...
The Federal Deposit Insurance Corporation (‘FDIC) and the SEC in accordance with section 205(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘Dodd-Frank ...
The FDIC and the SEC are jointly proposing a rule to implement provisions applicable to the orderly liquidation of covered brokers and dealers under Title ...
The Securities and Exchange Commission published a Proposed Rule in the Federal Register on Wednesday, December 23, 2015 (FR Doc 2015–31703; 80 FR 79757) concerning, ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend existing Commission regulations to establish an alternative to fingerprinting to evaluate the fitness ...
The Commodity Futures Trading Commission is proposing enhanced requirements for a derivatives clearing organization’s testing of its system safeguards, as well
as additional amendments to reorder ...
The CFTC is amending its system safeguards rules for designated contract markets, swap execution facilities, and swap data repositories, by enhancing and clarifying existing provisions ...
The Securities and Exchange Commission (“SEC” or “Commission”) is publishing for comment a proposed amendment to specify the form and manner with which security-based swap ...