Books and Records

(a) A swap execution facility’s program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following ...

(a) If the records required to be maintained and preserved pursuant to the provisions of §§270.31a-1 and 270.31a-2 are prepared or maintained by others on ...

(a) Every registered investment company, and every underwriter, broker, dealer, or investment adviser which is a majority-owned subsidiary of such a company, shall maintain and ...

(a) Definitions. For purposes of this section: (1) Access person means: (i) Any Advisory Person of a Fund or of a Fund's investment adviser. If ...

(a)(1) Except as provided in this section, it shall be unlawful for any registered open-end management investment company (other than a company complying with the ...

(a) A person registered as a swap data repository under section 21 of the Commodity Exchange Act (7 U.S.C. 24a) and the rules and regulations ...

(a) Definitions. For purposes of this section: (1) The term large trader means any person that: (i) Directly or indirectly, including through other persons controlled ...

(a) Every person registered or required to be registered under section 15B of the Act (15 U.S.C. 78o-4) and the rules and regulations thereunder shall ...

(a) Every member, broker and dealer subject to §240.17a-3 shall preserve for a period of not less than six years, the first two years in ...

(a) This section shall apply to every broker or dealer registered with the Commission pursuant to section 15 of the Act. (b)(1) Every broker or ...