Carl Ayers
An issuer that has received notice that it is the subject of a tender offer made under Section 14(d)(1) of the Act (15 U.S.C. 78n), ...
(a) An application for registration of a broker or dealer that is filed pursuant to section 15(b) of the Act (15 U.S.C. 78o(b)) shall be ...
(a)(1) Every broker or dealer exempted from the filing requirements of paragraph (a) of §240.17a-5 shall, not later than 17 business days after the close ...
The Securities Whistleblower Incentives and Protection provisions do not provide amnesty to individuals who provide information to the Commission. The fact that you may become ...
If a registration statement is prepared on a form available solely to investment companies registered under the Investment Company Act of 1940, or a business ...
(a) Definitions. For purposes of this section – (1) Affiliate of a security-based swap data repository means a person that, directly or indirectly, controls, is ...
(a) The term business day means any day other than a Saturday, Sunday, or legal holiday. (b) The term clearing agency means a clearing agency ...
(a) Trade acknowledgment requirement. In any transaction in which a security-based swap dealer or major security-based swap participant purchases from or sells to any counterparty ...
(a) Determinations—(1) In general. Subject to paragraph (a)(2) of this section, the Commission may, conditionally or unconditionally, by order, make a determination with respect to ...
(a) Scope. Sections 240.15Fh–1 through 240.15Fh–6, and 240.15Fk–1 are not intended to limit, or restrict, the applicability of other provisions of the federal securities laws, ...