Final Rule Releases

The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes

This is FinCEN's amendment to the Bank Secrecy Act to require IAs to develop and implement AML programs

These changes will require more frequent reporting of monthly portfolio holdings and related information to the Commission and the public

This new FinCEN rule, which takes effect in 2026, would require most investment advisers to create AML programs and to report suspicious activity to FinCEN

The SEC finalizes this rule that adjusts for inflation the dollar threshold used in defining a “qualifying venture capital fund”

This CFTC final rule, which becomes effective Sept. 16, would permit a foreign board of trade (FBOT) registered with the Commission to provide direct access ...

The CFTC amends its large trader position reporting requirements for futures and options. This final rule becomes effective Aug. 2, and the compliance date begins ...

While this new final rule takes effect Aug. 2, the compliance dates are February 2026 for larger entities and August 2026 for smaller ones

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 ...

This rule is effective May 31, 2024