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A divided SEC has voted to widen definitions of accredited investors in another step that proponents hope will bring more retail investors into the private ...
The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...
In an effort to clarify and simplify compliance with the implementing regulations, the final rule adopts revisions to the provisions that govern the relationship between ...
The compliance burden of the newly relaxed Volcker Rule will fall heaviest on banks but no one on either side of the reopened ledgers will ...
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
FINRA and the other SROs are now on the clock to publish their plans for the looming consolidated audit trail requirements after a divided Commission ...
Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
Attorneys General of 21 states are urging the Trump Administration to freeze all rulemaking and focus on the COVID-19 pandemic. In a letter to Russel ...
(a) Security futures products based on a single security. A futures contract on a single security is eligible to be traded as a security futures ...
(a) Failure to satisfy margin call. If any margin call required by this Regulation (Subpart E, §§41.42 through 41.49) is not met in full, the ...
Registered entities and swap counterparties must report required swap creation data electronically to a swap data repository as set forth in this section and in ...
(a) Determination of which counterparty must report swap data concerning each pre-enactment or transition swap shall be made as follows: (1) If only one counterparty ...
(a) Application. This section applies to all financial interests of a Commission member or employee of the Commission, including financial interests held by the member ...
(a) Compliance with core principles. To be registered, and maintain registration, a swap data repository shall comply with the core principles as described in this ...
(a) Authority. This part is issued by the Commission under section 13 of the Bank Holding Company Act of 1956, as amended (12 U.S.C. 1851). ...
A period of seven business days is required during which contracts for future delivery in the current delivery month of wheat, corn, oats, barley, rye, ...
(a) Pursuant to sections 2(a)(11) and 8(b) of the Act, the Commission hereby delegates, until such time as the Commission orders otherwise, to the Director ...
(a) Request for hearing. (1) An employee must file a petition for a hearing in accordance with the instructions outlined in the Commission's notice to ...
(a) The Commission hereby delegates, until such time as the Commission orders otherwise, to the Executive Director or to any Commission employee under the Executive ...
(a) Whenever this part directs that a request be directed to the Assistant Secretary of the Commission for FOI, Privacy and Sunshine Acts Compliance, the ...
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