Proposed Rules

Our proposal would modernize the rule and establish a new exemption to facilitate capital formation, including through offerings relying upon recently adopted intrastate crowdfunding provisions ...

This proposal would adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative ...

This proposal would require persons involved in administrative proceedings to submit all documents and other items electronically. The proposed amendments are intended to enhance the ...

The proposed amendments also seek to enhance disclosure regarding fund liquidity and redemption practices. The Commission is proposing new rule 22e-4, which would require each ...

The proposal would amend Exchange Act rule 13n-4 related to regulatory access to security-based swap data held by security-based swap data repositories. The proposed rule ...

This is the proposed rule that would require investment advisers to mandate an anti-money laundering program. This was proposed by FinCEN, a part of the ...

The CFTC proposes rules relating to swap data reporting in connection with cleared swaps for swap data repositories (SDRs), derivatives clearing organizations (DCOs), designated contract ...

The proposed rule and rule amendments would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer ...

This July 2015 correction revises the Form ADV example published in an earlier Federal Register. This version shows what the form would look like should ...

This CFTC proposed rule from 2015 would apply margin requirements to cross-border transactions, as a well to close a loop-hole regarding international swaps.