Heather Ayers
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.
This Dodd-Frank regulation implements a framework for the real-time public reporting of swap transaction and pricing data for all swap transactions.
This change to the net worth standard was effective upon enactment by operation of the Dodd-Frank Act, but it also requires us to revise our ...
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. ...