Heather Ayers
This is the Dodd-Frank provision that supposedly limits the SEC's Enforcement Division to act on an investigation within 180-days of a Wells action. However, the ...
(a) DEFINITIONS.—In this section— (1) the term ‘‘Federal banking agencies’’ means the Office of the Comptroller of the Currency, the Board of Governors of the ...
This correction amends erroneous cross-references found in three sections of the final CFTC rules for FCMs and DCOs.
This is a correction of an earlier rule that put in place risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, ...
OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers, focusing on areas related to cybersecurity. In order to empower ...
This interim final rule clarifies the scope of permissible access by market participants to swap data and information maintained by a registered swap data repository ...
A broker can deal with securities related to the ownership of a privately-held company without having to register as a broker-dealer.
This no-action letter from the SEC's Division of Trading & Markets in 2014 concerns a broker effecting securities transactions in connection with the transfer of ...
This CFTC rule makes technical amendments to the Commission’s regulations that correct cross-references to regulations administered by the Financial Crimes Enforcement Network (FinCEN), a bureau ...