Proposed Rules

The SEC is proposing to amend rules to reflect the new, higher registration, termination of registration and suspension of reporting thresholds under revised Exchange Act ...

This is a proposed rule from the CFTC in 2014 that would eliminate the need for commodity trading advisors (CTAs) to record swaps conversations (IA ...

This 2014 proposal provide would hold that certain communications involving security-based swaps that may be purchased only by eligible contract participants will not be deemed ...

This is a proposed rule from the SEC in 2014 directed at broker-dealers, security-based swap dealers, major security-based swap participants related to recordkeeping and reporting ...

This is a proposed rule from 2014 concerning investment company advertising for target date funds. It seeks additional comments after a proposed revision from the ...

This is a proposal from the SEC in 2013 that represents part 2 of its JOBS Act responsibilities. This rule would expand the existing exemption ...

The Commission proposes to establish speculative position limits for 28 exempt and agricultural commodity futures and option contracts, and physical commodity swaps that are ‘‘economically ...

This is the SEC's 2013 proposal related to the JOBS Act that would set up a regime for crowdfunding, offered by broker-dealers and so-called “funding ...

This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...