Final Rule Releases

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 ...

We generally view a 'pre-existing' relationship as one that the issuer has formed with an offeree prior to the commencement of the offering or, alternatively, ...

This final rule would add 16 agricultural items and metals to the existing 9 commodities facing position limits, bringing the total to 25

DCMs must be in full compliance with the requirements of this rule no later than July 12, 2021

This final rule spells out the granting of exemptions from registration for certain derivatives clearing organization (DCOs)

The final rule also permits a fund’s board to designate a “valuation designee” to perform fair value determinations. The valuation designee can be the investment ...

Without these amendments, market participants would lack meaningful regulatory reference concerning how to perform portfolio reconciliation

The Commission is adopting revisions to the method for calculating AANA for determining whether an FEU has MSE and the timing for compliance with the ...

This rule "will modernize the regulatory framework for funds to reflect the broad ways in which funds’ use of derivatives has developed over past decades, ...

These final rules would not preclude SEFs from deploying error trade rules and procedures which consider whether a transaction cancellation or price adjustment will adversely ...