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Final Rule Releases

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This new CFTC final rule, which imposes minimum capital requirements on swap dealers and major swap participants, becomes effective in June, and the compliance date ...
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The Commission is adopting rule amendments that are designed to modernize and enhance the protections that Regulation S-P provides by addressing the expanded use of ...
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This rule is effective May 31, 2024
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This is the DOL's final rule creating a new definition of an ERISA fiduciary
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This final rule modernizes the internet advisers' rules to account for the evolution in technology and the investment advisory industry since the initial adoption of ...
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The SEC adopts two new rules to further define the phrase “as a part of a regular business” as used in the statutory definitions of ...
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These new SEC final rules would require a minimum dissemination period for the distribution of security holder communication materials in connection with de-SPAC transactions, along ...
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These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...
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Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...
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This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities
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