Proposed Rules

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 ...

This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition

This is the Department of Labor's 2023 proposed rule redefining a fiduciary under ERISA

The CFTC proposes updating the Portfolio Requirement thresholds within the 'Qualified Eligible Person' definition; (2) requiring CPOs and CTAs operating pools and trading programs to ...

The proposed rule targets the offerings of registered index-linked annuities, which are predominantly sold by broker-dealers, although investment advisers may also provide advice on RILAs ...

We estimate that there are 594 investment advisers that would be considered small entities

The CFTC proposes changes in how how registered entities submit self-certifications, and requests for approval, of their rules, rule amendments, and new products for trading ...

The CFTC proposes to to eliminate a provision disqualifying the securities issued by certain pooled investment funds that transfer their assets through securities lending, securities ...

The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration

The CFTC seeks comments on the adoption of certain risk management programs, including the governance and structure of such programs, the enumerated risks these programs must ...