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Final Rule Releases

"We are deleting references in the current advertising rule to specific types of communications to ensure that the final rule reflects modern communication methods, rather ...
The Final Rule establishes two exemptions from the trade execution requirement for swaps, both of which are linked to the Commission’s exemptions from, and exceptions ...
To alleviate the operational burdens associated with making de minimis margin transfers without resulting in an unacceptable level of uncollateralized credit risk, our rules provide ...
We generally view a 'pre-existing' relationship as one that the issuer has formed with an offeree prior to the commencement of the offering or, alternatively, ...
This final rule would add 16 agricultural items and metals to the existing 9 commodities facing position limits, bringing the total to 25
DCMs must be in full compliance with the requirements of this rule no later than July 12, 2021
This final rule spells out the granting of exemptions from registration for certain derivatives clearing organization (DCOs)
The final rule also permits a fund’s board to designate a “valuation designee” to perform fair value determinations. The valuation designee can be the investment ...
Without these amendments, market participants would lack meaningful regulatory reference concerning how to perform portfolio reconciliation
The Commission is adopting revisions to the method for calculating AANA for determining whether an FEU has MSE and the timing for compliance with the ...
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