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Federal rules effective dates

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR

On April 29th, the SEC provided notice of the Fixed Income Clearing Corporation's filing of a proposed rule change that would allow FICC to include

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR

On April 10th, the CFTC and SEC adopted new final rules and guidelines requiring certain regulated entities to establish programs to address risks of

Commodity Futures Trading Commission: April 11, 2013 - Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered

On April 3rd, the SEC published a new final rule that streamlines the process for rulemaking by clearing agencies that are registered with both the

On March 25th, the Financial Industry Regulatory Authority announced that effective June 3, 2013, FINRA will modify the protocol for reporting

On March 4th, the SEC provided notice of the Options Clearing Corporation's filing of a proposed rule change to implement a revised method of

February 4, 2013 - Extension of Exemptions for Security-Based Swaps. 78 FR 7654. March 25, 2013 - Lost Securityholders and Unresponsive Payees. 78 FR

On February 15th, the SEC approved ICE Clear Credit's proposed addition of rules related to the clearing of European corporate single-name CDS. SEC