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Proposed Rules

CFTC u.s. commodity futures trading commission business finance regulation concept
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 ...
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This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition
CFTC u.s. commodity futures trading commission business finance regulation concept
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 ...
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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 ...
Securities and Exchange Commission, SEC, Building in Washington DC. The SEC regulates stocks and bonds and related financial activities.
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 ...
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The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration
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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 ...
Banking, finance, inflation and mortgage rates concept. 3D illustration
The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...
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