Regulation & products
Product & Regulatory Tracker
Rules, proposals and notices from the CFTC and SEC (Federal Register, public domain). Every event with its source, date and a link to the official document.
What does it measure?Regulators' rule changes (CFTC, SEC) can open or close retail access (e.g. new products, requirements, restrictions). This timeline keeps you up to date on the latest, with a link to the official document.
Figure 1. Timeline of regulatory documents. 40 documents · Federal Register (CFTC + SEC)
- 2026-09-08SECNoticeSunshine Act Meetings
- 2026-09-08SECNoticeSunshine Act Meetings
- 2026-09-08CFTCRuleClearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for CAD and MXN Interest Rate Benchmark Transitions
The Commodity Futures Trading Commission (Commission or CFTC) is amending its interest rate swap clearing requirement regulations under applicable provisions of the Commodity Exchange Act (CEA) to address the transition from the Canadian Dollar Offered Rate (CDOR) to the Canadian Overnight Repo Rate Average (CORRA), and the transition from the Mexican Interbank Equilibrium Interest Rate (la Tasa de Inter[eacute]s Interbancaria de Equilibrio, or TIIE by its Spanish acronym) to the TIIE Funding Rate (TIIE de Fondeo or F-TIIE), as benchmark reference rates for interest rate swaps denominated, respectively, in Canadian dollars (CAD) and Mexican pesos (MXN). These transitions are part of an ongoing global effort by market participants, benchmark administrators, regulators, and others to shift away from reliance on certain interbank offered rates (IBORs) that have become unavailable as benchmark reference rates and adopt alternative reference rates, which are predominantly overnight, nearly risk-free reference rates (RFRs). These amendments revise the set of interest rate swaps that are required to be submitted for clearing, pursuant to the CEA and the Commission's regulations, to a derivatives clearing organization (DCO) that is registered under the CEA (registered DCO) or a DCO that has been exempted from such registration (exempt DCO). The amendments modify the Commission's interest rate swap clearing requirement to reflect the market transitions from swaps referencing CAD CDOR and MXN TIIE to swaps referencing, respectively, CAD CORRA and MXN F-TIIE.
- 2026-09-04SECNoticeEldridge Dynamic Income Fund and Eldridge Structured Credit Advisers, LLC
- 2026-09-04SECProposed RuleTransfer Agent Rules
The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.
- 2026-09-03SECRuleForm PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") (collectively, "we" or the "Commissions") are further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024, from October 1, 2026, to July 1, 2027. Form PF is the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (a "CPO") or a commodity trading adviser (a "CTA").
- 2026-09-03CFTCRuleForm PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date
The Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") (collectively, "we" or the "Commissions") are further extending the compliance date for the amendments to Form PF that were adopted on February 8, 2024, from October 1, 2026, to July 1, 2027. Form PF is the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (a "CPO") or a commodity trading adviser (a "CTA").
- 2026-09-01CFTCNoticeAgency Information Collection Activities Under OMB Review
In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA), of the Office of Management and Budget (OMB), for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
- 2026-08-26CFTCProposed RuleSwap Execution Facility Order Book Requirement for Permitted Transactions
The Commodity Futures Trading Commission ("Commission" or "CFTC") proposes to amend its regulations for swap execution facilities ("SEFs") to remove the requirement for SEFs to offer an order book for swap transactions that are not subject to trade execution requirement under section 2(h)(8) of the Commodity Exchange Act ("CEA" or "Act"). These types of swap transactions are referred to in the Commission's regulations as "permitted transactions."
- 2026-08-21CFTCProposed RuleCommodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools
The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing several amendments to its registration requirements for certain commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") to reduce duplicative and overlapping regulation and reflect inflation ("Proposal"). The Proposal would add an exemption from CPO registration for certain investment advisers registered with the Securities and Exchange Commission ("Registered Investment Advisers" or "RIAs") in relation to commodity pools for which the participants are limited to certain sophisticated investors and which meet other conditions; add a related registration exemption for CTAs; and increase the total gross capital contributions threshold in the CPO registration exemption for small commodity pools (commonly referred to as the "Small Pool Exemption") to account for inflation. The Commission preliminarily intends for the Proposal, if adopted, to supersede certain no-action positions issued by the Commission's Market Participants Division ("MPD").
- 2026-08-21CFTCProposed RuleRequest for Comment on the Listing of Compute Derivatives Contracts
The Commodity Futures Trading Commission ("CFTC" or "Commission") is seeking public responses to this Request for Comment to better inform its understanding and oversight of derivatives markets in compute.
- 2026-08-19CFTCNoticeAgency Information Collection Activities: Notice of Intent To Extend Collection 3038-0059: Part 41, Relating to Security Futures Products
The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on collection requirements relating to security futures products.
- 2026-08-14CFTCNoticeAgency Information Collection Activities: Notice of Intent To Extend Collection 3038-0005
The Commodity Futures Trading Commission (CFTC or Commission) is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act (PRA), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the information collections associated with the rules relating to the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) and monthly reporting by futures commission merchants.
- 2026-08-12CFTCNoticeRenewal of the Innovation Advisory Committee
The Commodity Futures Trading Commission (CFTC or Commission) is publishing this notice to announce the renewal of the Innovation Advisory Committee (IAC). The Commission has determined that the renewal of the IAC is necessary and in the public's interest.
- 2026-08-11CFTCNoticeInnovation Advisory Committee
The Commodity Futures Trading Commission (CFTC) announces that on August 20, 2026, from 1:00 p.m. to 4:00 p.m. Eastern Daylight Time, the Innovation Advisory Committee (IAC or Committee) will hold an in- person meeting for IAC members, with options for the public to attend virtually. At this meeting, the IAC will discuss topics including crypto assets, artificial intelligence, and prediction markets, along with recent CFTC activity in these markets.
- 2026-08-06CFTCProposed RuleConflicts and Affiliations
The Commodity Futures Trading Commission ("CFTC" or "Commission") is proposing new rules and amendments to its existing regulations for futures commission merchants ("FCMs"), swap execution facilities ("SEFs"), designated contract markets ("DCMs"), and derivatives clearing organizations ("DCOs") (the "Proposal"). The Proposal addresses requirements relating to financial oversight of FCMs by self-regulatory organizations ("SROs") and designated self- regulatory organizations ("DSROs"), as well as disclosure requirements by FCMs regarding affiliate relationships that an FCM has with a SEF, DCM, or DCO. For SEFs, DCMs, and DCOs, the Proposal would also establish requirements, including conflicts of interest rules, to address those registered entities' relationships with certain affiliates, such as FCM affiliates and affiliated principal trading firms. The Proposal includes guidance regarding the implementation of safeguards to protect the impartiality of SEFs, DCMs, and DCOs, including where applicable in their role as SROs or performing SRO functions with respect to certain affiliates. The guidance addresses the sharing of resources including staffing, technology, and office space, and limitations on the sharing of non-public information.
- 2026-08-06CFTCNoticeAgency Information Collection Activities: Notice of Intent To Extend Collection 3038-0092, Customer Clearing Documentation and Timing of Acceptance for Clearing
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act of 1995 ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the extension of information collection requirements relating to the obligation to maintain clearing documentation records between the customer and the customer's clearing member under the Commodity Exchange Act, OMB Control No. 3038-0092 (Customer Clearing Documentation and Timing of Acceptance for Clearing).
- 2026-08-06CFTCNoticeAgency Information Collection Activities: Notice of Intent To Renew Collection 3038-0103, Ownership and Control Reports, Forms 102/102S, 40/40S, and 71 (Trader and Account Identification Reports)
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of the collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information and to allow 60 days for public comment. This notice solicits comments in connection with information collection requirements under certain rules and related forms (the "final rules") that the Commission adopted to enhance its identification of futures and swap market participants.
- 2026-08-06CFTCNoticeAgency Information Collection Activities: Notice of Intent to Extend Collection 3038-0076: Requirements for Derivatives Clearing Organizations
The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the renewal of the information collection that includes reporting requirements for derivatives clearing organizations ("DCOs") under the Commission's regulations.
- 2026-08-06CFTCNoticeAgency Information Collection Activities: Notice of Intent to Extend Collection 3038-0091: Disclosure and Retention of Certain Information Relating to Cleared Swaps Customer Collateral
The Commodity Futures Trading Commission ("Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the proposed extension of the existing collection of information relating to Cleared Swaps Customer Collateral.
- 2026-07-28CFTCNoticeAgency Information Collection Activities: Notice of Intent To Extend Collection; 3038-0097; Process for Review of Swaps for Mandatory Clearing
The Commodity Futures Trading Commission ("Commission" or "CFTC") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on reporting and recordkeeping requirements relating to information management requirements for derivatives clearing organizations.
- 2026-07-28CFTCProposed RuleRequest for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities
On June 25, 2026, the Commodity Futures Trading Commission ("Commission" or "CFTC") published in the Federal Register a request for comment ("RFC") titled "Request for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities." The comment period for the RFC was set to close on July 27, 2026. The Commission is extending the comment period for this RFC by an additional thirty days. In addition to the questions set forth in the RFC, the Commission is further requesting comment on the self- certified 24/7 oil contract listed by Chicago Mercantile Exchange's ("CME's") New York Mercantile Exchange, Inc. ("NYMEX") on July 8, 2026 and that the Commission stayed on July 9, 2026.
- 2026-07-21CFTCRuleOrder Providing Exemptive Relief To Facilitate Listing of Cash-Settled Futures on Individual Equity Securities
The Commodity Futures Trading Commission ("Commission" or "CFTC") is issuing an order pursuant to the Commodity Exchange Act ("CEA") that provides exemptive relief from the Commission's opening price settlement requirement for security futures products in connection with Chicago Mercantile Exchange Inc.'s ("CME") plans to list cash-settled futures on individual equity securities for trading pursuant to its registration as a designated contract market and notice registration as a national securities exchange.
- 2026-07-21CFTCNoticeAgricultural Advisory Committee
The Commodity Futures Trading Commission (CFTC) announces that on July 29, 2026, from 1:00 p.m. to 4:00 p.m. Eastern Daylight Time, the Agricultural Advisory Committee (AAC or Committee) will hold an in- person public meeting at the CFTC's Washington, DC headquarters, with options for the public to attend virtually. At this meeting, the AAC will discuss: topics related to the Basel III proposal, risk management tools for agricultural end users, 24/7 trading and emerging markets, and recent CFTC activity in the agricultural industry.
- 2026-07-21CFTCRuleOrder Sunsetting Certain Large Trader Reporting Requirements for Physical Commodity Swaps
The Commodity Futures Trading Commission ("CFTC" or the "Commission") is issuing this Order pursuant to Sec. 20.9 of its regulations, the sunset provision of the Commission's large trader reporting rules for physical commodity swaps ("Part 20" or the "Swaps LTR Rules"). Based on the findings set out below, the Commission is rendering the routine position-reporting requirements of Part 20 ineffective and unenforceable, while preserving, pursuant to Sec. 20.9(b), the Commission's authority to require the maintenance and production, on special call, of the underlying books, records, and futures-equivalent conversion methods. As a result, clearing organizations, clearing members, and swap dealers will no longer be required to file the daily and event-based position reports currently required under Part 20.
Source. Federal Register (CFTC + SEC) · CFTC and SEC via the Federal Register (public domain).