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Final Rule Releases

The Securities and Exchange Commission (the “SEC” or the “Commission”) is publishing an interpretation of section 202(a)(11)(C) of the Investment Advisers Act of 1940 (the ...
The Securities and Exchange Commission (the “Commission” or the “SEC”) is adopting new rules and forms as well as amendments to its rules and forms, ...
The Securities and Exchange Commission (the “Commission”) is adopting a new rule under the Securities Exchange Act of 1934 (“Exchange Act”), establishing a standard of ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (‘‘Regulation NMS’’) under the Securities Exchange ...
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (“Regulation NMS”) under the Securities ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is adopting amendments to revise its regulations requiring covered persons to provide annual privacy notices to customers. ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory organization’s (“SRO”) financial surveillance examination ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending selected provisions of its regulations to simplify certain requirements for swap dealers (“SDs”) and major ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending the de minimis exception within the “swap dealer” definition in the Commission’s regulations by establishing ...
The United Kingdom (“UK”) has provided formal notice of its intention to withdraw from the European Union (“EU”). The withdrawal may happen as soon as ...
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that reduces the ...
The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require reports on ...
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inflation. This rule sets forth ...
The Securities and Exchange Commission is adopting amendments to Regulation A under the Securities Act of 1933 (the ‘‘Securities Act’’). Regulation A provides an exemption ...
We are adopting a rule to implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rule requires a company ...
Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 (“Exchange Act”), as added by Section 764(a) of Title VII of the Dodd-Frank Wall ...
The Securities and Exchange Commission (“Commission” or “SEC”) is adopting a new rule of Regulation National Market System (“Regulation NMS”) under the Securities and Exchange Act ...
The Commission is adopting a new rule under the Securities Act of 1933 to establish a safe harbor for an unaffiliated broker or dealer participating ...
This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Company Reporting Modernization, which ...
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting amendments (‘‘Final Rule’’) to its margin requirements for uncleared swaps for swap dealers (‘‘SD’’) and ...
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