Carl Ayers
These new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
This regulations extends privacy provisions to swap dealers and major swap participants.
This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.
This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...
RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions
Section 18(f)(1) generally prohibits a registered open-end investment company or series thereof (“Fund”) from issuing any “senior security.” Section 18(g) of the Investment Company Act ...
The staff has been asked whether an investment company registered under the Investment Company Act of 1940 ("Investment Company Act") or a company that has ...
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