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Final Rule Releases

SEC final rule: Delegation of authority to the IM director

IA Rules & Regulatory Actions
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Rule 30–5(g)(8) will enable the IM director to authorize the issuance of orders under the Advisers Act to grant, deny, and revoke confidential treatment of ...
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Treasury final rule: Delaying AML requirements for SEC investment advisers to 2028

IA Rules & Regulatory Actions
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"The two-year delay will provide additional time for FinCEN to review the IA AML Rule and, as applicable, ensure the IA AML Rule is effectively ...
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CFTC final rule: Revising business standards for SDs and MSPs

CPO/CTAs
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This final rule provides exceptions to compliance with requirements when executing swaps that are: (1) intended by the parties to be cleared contemporaneously with execution ...
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SEC final rule: Extension of Compliance Date for Disclosure of Order Execution Information

IA Rules & Regulatory Actions
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The SEC extends the compliance date for amendments to rules around the disclosure of order executions from Dec. 14 to Aug. 1, 2026

CFTC/SEC: Delaying compliance date for Form PF changes

IA Rules & Regulatory Actions
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The SEC and CFTC agree to extend the compliance date for Form PF amendments from Oct. 2025 to Oct. 2026
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Acceleration of Effectiveness of Registration Statements of Issuers with Certain Mandatory Arbitration Provisions

IA Rules & Regulatory Actions
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This SEC statement concerns requests to accelerate the effective date of registration statements filed by issuers with a mandatory arbitration provision for investor claims
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SEC final rule: Extension of compliance date for required daily B-D computation

IA Rules & Regulatory Actions
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The SEC extends the compliance date for amendments requiring certain broker-dealers to perform daily reserve computations and make required deposits into their reserve bank accounts ...
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SEC final rule: Withdrawal of Proposed Regulatory Actions

IA Rules & Regulatory Actions
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This final rule announces the withdrawal of 14 prior SEC rule proposals, including the AI, safeguarding, outsourcing and other rules targeting advisers
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Form PF: New final rule moves compliance date to October

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