Proposed Rules

This is a proposed rule from the SEC in 2012 entitled Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants ...

This is the SEC's proposal rule from 2012 to eliminate the prohibition against general solicitation and general advertising in rule 506 and rule 144A offerings. ...

This is a CFTC proposal from 2012 that would give an exemption from clearing swaps for cooperatives.

This is an SEC proposed rule from 2011 governing the registration of security-based swap dealers and major security-based swap participants.

This is the multi-agency proposal from October 2011 referred to as the Volcker Rule. It prohibits certain banking activities, including certain ownership of hedge and ...

This is an SEC proposal made in 2011 dealing with prohibiting conflicts of interest in certain securitizations.

This is an SEC proposal, prompted by Dodd-Frank, related to business conduct standards for security-based swap dealers and major security-based swap participants.

This is a proposed rule from the SEC in 2011 dealing with custody. It would require broker-dealers to file a new Form Custody. This is ...

This is an SEC proposed rule from June 2011 that would punish felons and so-called “bad actors” by disqualifying them from rule 506 offerings. This ...

This is an SEC proposal from 2011 that would remove the need to do certain credit ratings checks under the Exchange Act.