Rulemaking

The new intraday margin standards adopted by FINRA are fast approaching with a June 4 effective date

Provides for compensation to the investment adviser on the basis of a share of the capital gains

The CFTC seeks your comments as it ponders a new rule regarding event contract derivatives traded on markets referred to as prediction markets

Regulators want ideas on how to build out the "known investor" program.

FinCEN solicits your comments by Oct. 22 on whether its AML rule for advisers should ever see the light of day

The Commission is withdrawing the proposal to reconsider how the proposed rules work in practice with the operational resilience rules of other regulators

"Today’s actions are but one symptom of a much larger problem – the Commission taking shortcuts in order to achieve preferred outcomes .... We are ...

The CFTC amends its regs governing the types of investments that FCMs and DCOs may make with funds held for the benefit of customers engaging ...

In what may be SEC Chairman Gary Gensler's political epitaph, federal judge condemns rules 'untethered from the text, history, and structure'

Among the many things that will be impacted by the results of the upcoming presidential election will be the agenda of the SEC and other ...