Proposed Rules

The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants

The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities

The Commodity Futures Trading Commission (the ‘‘Commission’’) is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure ...

The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...

In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Commission is currently following with ...

The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”) are proposing amendments to regulations that establish minimum customer ...

The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of foreign futures and options ...