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Proposed Rules

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You have until July 22 to comment on this joint SEC/FinCEN proposal that would require SEC-registered investment advisers and exempt reporting advisers to implement a ...
DOL
This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA
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These changes would establish governance and fitness requirements with respect to market regulation functions, as well as related conflict of interest standards, requirements relating to ...
The screen shows company stock information for traders that want to invest
The CFTC proposes rules to require an FCM to ensure that a customer does not withdraw funds from its account with the FCM if the ...
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This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...
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This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes rules to ensure clearing member funds and assets receive the proper treatment in the event a derivatives clearing organization enters bankruptcy by ...
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This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes to amend its regulations governing the types of investments that futures commission merchants and derivatives clearing organizations may make with funds held ...
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