Proposed Rules

This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...

The CFTC proposes rules to ensure clearing member funds and assets receive the proper treatment in the event a derivatives clearing organization enters bankruptcy by ...

This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...

The CFTC proposes to amend its regulations governing the types of investments that futures commission merchants and derivatives clearing organizations may make with funds held ...

This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition

The CFTC proposes updating the Portfolio Requirement thresholds within the 'Qualified Eligible Person' definition; (2) requiring CPOs and CTAs operating pools and trading programs to ...

The proposed rule targets the offerings of registered index-linked annuities, which are predominantly sold by broker-dealers, although investment advisers may also provide advice on RILAs ...

We estimate that there are 594 investment advisers that would be considered small entities

The CFTC proposes changes in how how registered entities submit self-certifications, and requests for approval, of their rules, rule amendments, and new products for trading ...

The CFTC proposes to to eliminate a provision disqualifying the securities issued by certain pooled investment funds that transfer their assets through securities lending, securities ...