Final Rule Releases

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

This is the DOL's final rule creating a new definition of an ERISA fiduciary

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 ...

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 ...

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 ...

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 ...

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 ...