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Proposed Rules
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 ...
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 ...
The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...