Act

This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer

This is an SEC final rule from 2024 that could force some firms to register as dealers

This is the Investment Company Act's books and records rule, as amended in 2023

This is the SEC's proposed revised liquidity risk management rule from November 2022

This is the SEC's recordkeeping rule tied to good faith fund valuations

This rule gives investment advisers broad fund valuation duties as 'valuation designees'

This is the SEC's derivatives rule approved in 2020

This is the revised money market fund rule as of 2023

This chapter may be cited as the “Commodity Exchange Act.” Prior Provisions This chapter superseded act Aug. 24, 1921, ch. 86, 42 Stat. 187, known ...

As used in this chapter: (1) Alternative trading system The term “alternative trading system” means an organization, association, or group of persons that— (A) is ...