Proposed Rules

You have until Oct. 24 to comment on the CFTC's proposal to amend business conduct and documentation requirements for SDs and MSPs

These amendments would provide exceptions to compliance with certain swap requirements and, if adopted, would supersede certain previous CFTC no-action positions

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

This is the SEC's final rule change to N-PORT reporting rules

The SEC, CFTC, Treasury and other federal agencies are proposing to establish data standards to promote interoperability of financial regulatory data. Comments must be received ...

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 ...