Carl Ayers
An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...
These are technical amendments to the accredited investor standard under Regulation D.
Click here to see the SEC's guidance.
The Commission adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd- Frank for entities registered ...
Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...
Under section 30(g) of the Investment Company Act and the Commission's Accounting Series Release No. 118 (Dec. 23, 1970), the certificate of independent public accountants ...
These rules prescribe external business conduct standards for swap dealers and major swap participants.
This CFTC final rule from 2012 puts in place regulations imposing requirements on futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) regarding the treatment ...
This is a minor correction to the CFTC's swap rules.
This final rule puts in place the Dodd-Frank reforms that included the registration of swap dealers and major swap participants.