Proposed Rules

The proposed rule and rule amendments would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer ...

This July 2015 correction revises the Form ADV example published in an earlier Federal Register. This version shows what the form would look like should ...

This CFTC proposed rule from 2015 would apply margin requirements to cross-border transactions, as a well to close a loop-hole regarding international swaps.

This May 2015 proposal from the SEC would amend Form ADV reporting, especially around separately managed accounts.

This May 2015 proposal would allow disclosures on the web as well as other modernizations to the Investment Company Act.

The CFTC is proposing to amend the trade option exemption in its regulations, as described herein, in the following subject areas: Reporting requirements for trade ...

The SEC proposes amending Regulation SBSR to apply the regulatory reporting and public dissemination requirements to transactions that are arranged, negotiated or executed by personnel ...

This proposed rule from the SEC in 2015 would revise Exchange Act rule 15b9-1 to replace the gross income allowance with a narrower exemption from ...

This proposed SEC rule from 2015 would amend Regulation SBSR, the security-swap reporting rule, in several ways. For instance, it includes an exemption process from registration ...

The proposed disclosure would be required in a proxy statement or information statement relating to an election of directors, whether by vote of security holders ...