Proposed Rules

FinCEN proposes to amend its AML rules. Among other things, should this proposal be finalized, it would require broker-dealers and other financial institutions to review ...

The CFTC proposes rule changes concerning event contracts in certain excluded commodities. Comments are due July 9

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 ...

This is the Department of Labor's 2024 final rule redefining a fiduciary under ERISA

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 CFTC proposes rules to require an FCM to ensure that a customer does not withdraw funds from its account with the FCM if the ...

This is FinCEN's proposal that would require investment advisers and private funds to report certain real estate transactions

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 ...

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 ...

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 ...