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Proposed Rules

The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
In response to significant concerns regarding the COVID-19 outbreak, BCBS/IOSCO decided to amend its margin policy framework to further extend the implementation schedule for the ...
The proposed rule would provide requirements for determining fair value in good faith with respect to a fund
Extension of all comment periods by at least 60 days recommended
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
The proposal would expand the list of entities that may qualify as accredited investors
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities
The Commodity Futures Trading Commission (the ‘‘Commission’’) is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure ...
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...
The Securities and Exchange Commission (“Commission” or “SEC”) is proposing to amend Regulation NMS under the Securities Exchange Act of 1934 (“Exchange Act”) to rescind ...
The Commodity Futures Trading Commission (‘‘CFTC’’) and the Securities and Exchange Commission (‘‘SEC’’) (collectively, the ‘‘Commissions’’) are proposing amendments to regulations that establish minimum customer ...
In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Commission is currently following with ...
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations that would permit derivatives clearing organizations (DCOs) organized outside of the United States ...
The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”) are proposing amendments to regulations that establish minimum customer ...
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of foreign futures and options ...
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of foreign futures and options ...
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