Final Rule Releases

We are adopting amendments to rule 205-3 to replace the specific dollar amount thresholds in the rule’s net worth and assets-under-management tests with references to ...

The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

Rule 151(a) currently sets forth the procedural requirements for filing papers with the Commission

The Commission is revising part 190 comprehensively in light of several major changes to the industry over the 37 years since part 190 was first ...

"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