Market regulation · 12/05/2010

AdvisorShares Investments, LLC and AdvisorShares Trust File Notice of Application with the SEC

AdvisorShares Investments, LLC and AdvisorShares Trust have submitted a notice of application to the Securities and Exchange Commission (SEC), marking the next step in their regulatory process.

Source: Federal Register — SECOpen original release →

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Market regulation · 9/8/2026

CFTC Amends Interest Rate Swap Clearing Requirement Regulations for CAD and MXN Benchmark Transitions

The Commodity Futures Trading Commission is updating its regulations to address the transition from CDOR to CORRA and TIIE to F-TIIE as benchmark reference rates for interest rate swaps denominated in CAD and MXN, shifting away from unavailable IBORs and adopting alternative RFRs.

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Market regulation · 9/3/2026

CFTC and SEC Extend Compliance Date for Form PF Reporting Requirements

The Commodity Futures Trading Commission and the Securities and Exchange Commission have extended the compliance date for the amended Form PF reporting requirements from October 1, 2026, to July 1, 2027, affecting certain investment advisers to private funds and commodity pool operators/trading advisers.

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Market regulation · 9/1/2026

Agency Announces Information Collection Activities Under OMB Review

The Office of Management and Budget is reviewing a request for information collection from the agency, in compliance with the Paperwork Reduction Act of 1995, to assess the nature and costs of the data collection.

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Market regulation · 8/26/2026

CFTC Proposes to Amend Regulations for Swap Execution Facilities

The Commodity Futures Trading Commission is proposing to remove the requirement for swap execution facilities to offer an order book for certain swap transactions, which are considered permitted under the Commodity Exchange Act.

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Market regulation · 8/21/2026

CFTC Proposes Amendments to Reduce Duplicative Regulation for Commodity Pool Operators and Trading Advisors

The Commodity Futures Trading Commission is proposing changes to its registration requirements for commodity pool operators and trading advisors to reduce overlapping regulation and account for inflation, including an exemption for certain investment advisers and small commodity pools.

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Market regulation · 8/21/2026

CFTC Seeks Public Comments on Listing of Compute Derivatives Contracts

The Commodity Futures Trading Commission is requesting public input to improve its understanding and oversight of derivatives markets involving compute, a key component of modern finance.

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