Home Act


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This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer
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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'
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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 Prior Provisions This chapter superseded act Aug. 24, 1921, ch. 86, 42 Stat. 187, known ...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 ...

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