Final Rule Releases

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

This final rule from the SEC takes effect July 1, 2024

This final rule rescinds certain guidance that the Commission issued to investment advisers about their proxy voting obligations

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 ...