Proposed Rules

The proposed changes would address the whistleblower claim processing delays as well as improve process transparency— improvements designed to safeguard and enhance the Program’s continued ...

The CFTC proposes rules governing event contract derivatives, often referred to as prediction markets. A final rule could specify the types of event contracts that ...

This latest FinCEN AML proposal isn't directed at investment advisers, but would affect broker-dealers and other financial firms. You have until June 9 to comment

FinCEN and OFAC propose this rule suggesting compliance requirements tied to the recent GENIUS Act's approval of Stablecoins. You have until June 9 to comment

You have until June 1 to share your comments with FinCEN on its whistleblower proposal

You have until June 1 to share your comments on this proposal with the DOL

The proposed amendments would replace the terms “security” and “securities” in Rule 15c2-11 with the terms “equity security” or “equity securities” as related to what ...

The Commission proposes to streamline or remove certain items from Form N-PORT to reduce the reporting burdens in ways that would not significantly affect the ...

This is the SEC's proposed rule, released in February 2026, which would turn back the Commission's 2024 amendments that would have sped up the required ...

This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking