SEC Actions

"Rule 17a-14(c) should not apply to Trump accounts because they are subject to statutory limitations that materially limit account features in a way that, at ...

Many pooled employer plans offer CITs as investment options to employers participating in the plan and their employees

This report informs the Commission’s consideration of the definition of security-based swap dealer and major security-based swap participant. In nine months, after weighing public comments, ...

Effective June 29, the dollar amount of the AUM test for performance fees increases from $1.1 million to $1.4 million, and the net worth test ...

The proposed amendments would eliminate certain filing and reporting obligations, streamline certain requirements, and make corrections and other revisions. The proposed amendments are designed to ...

There have been several developments since the Commission last evaluated the scope and sufficiency of these audit trails and related data sources. These developments have ...

This CFTC order permits joint clearing members of the Chicago Mercantile Exchange and the Fixed Income Clearing Corporation that are dually registered as SEC broker-dealers ...

Under the conditional exemptive relief, a BD-FCM would be permitted to hold eligible U.S. Treasuries and the customer assets used to margin, secure, or guarantee ...

This notice alerts that B-Ds may include a debit in the customer protection rule reserve computations when depositing cash, U.S. Treasury securities, and/or qualified customer ...

The guidance recommends B-Ds set up compliance P&Ps related to "the operation of the Covered User Interface" as well as to maintain relevant books and ...