Final Rule Releases

This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers

This joint CFTC/SEC final rule shifts the compliance deadline for new Form PF amendments from June 12 to Oct. 1, 2025

Given President Trump's directive, the SEC is extending the compliance dates of Form N-PORT changes to provide time for the Commission to complete its review

This joint CFTC and the SEC final rule revising Form PF is effective as of April 11, 2025. It's designed to fix some errors with ...

New rules and form changes apply to initial public offerings by SPACS. Beginning in June 2025, registrants must tag disclosure required under the final rules ...

The SEC extends the compliance dates for the so-called Names rule, which aims to prevents mutual funds from using names that can mislead investors, from ...

The SEC amends its rules regarding delegating the Commission's authority to issue formal orders of investigation to the director of the Division of Enforcement, which ...

This new CFTC final rule requires a FCM to ensure a customer does not withdraw funds from its account if the balance would be insufficient ...

The CFTC amends rules governing the types of investments that FCMs and DCOS may make with funds held for the benefit of customers engaging in ...

This new CFTC final rule requires a futures commission merchant to ensure a customer doesn't withdraw funds from its account with the FCM if the ...