Rules & Regulations

The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...

Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...

FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...

Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...

This is the SEC's new IA advertising rule approved in December 2020

Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...

This is the so-called ETF rule passed by the SEC in 2019 that codified years of exemptive relief

The OCC, Board, FDIC, SEC, and CFTC (individually, an Agency, and collectively, the Agencies) are inviting comment on a proposal to amend the regulations implementing ...

For purposes of this part: (a) Alternative trading system shall have the meaning set forth in section 1a(1) of the Act. (b) Board of trade ...

A designated contract market that trades a security index or security futures product shall maintain in accordance with the requirements of §1.31 of this chapter ...