Proposed Rules

We are proposing amendments based on the recommendations made in the staff’s Report on Modernization and Simplification of Regulation S-K, as required by Section 72003 ...

We are proposing to amend the definition of a venture capital fund (rule 203(l)–1) and the private fund adviser exemption (rule 203(m)–1) under the Investment ...

The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers ...

As is explained below, the Commission is extending for 60 days the comment period for the Proposal until May 15, 2017.

The proposed amendments would amend the list of events for which notice is to be provided to include (i) incurrence of a financial obligation of ...

We are proposing to require the use of the Inline XBRL format for the submission of operating company financial statement information and mutual fund risk/return ...

The amendments would integrate existing advisory guidance and the amendments to part 9 would also incorporate swap execution facilities (‘‘SEFs’’) and update provisions currently applicable ...

The proposed amendments would implement Title LXXXVI of the FAST Act and make associated changes to the Commission’s regulations governing the grant of access to ...

The proposed amendments would permit recordkeepers to leverage advances in information technology as a means to reduce costs associated with the retention and production of ...