Carl Ayers
This Dodd-Frank regulation implements a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
The branch inspection process is a critical component of a comprehensive risk management program and can help protect investors and the interests of the firm. ...
This final rule establishes the compliance and other obligations facing derivatives clearing organization (DCO) as a result of Dodd-Frank reforms.
The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This final rule and interpretation deals with regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions) and makes ...
This Dodd-Frank-inspired regulation establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).