Carl Ayers
(a) Antifraud provisions. It shall be unlawful for a security-based swap dealer or major security-based swap participant: (1) To employ any device, scheme, or artifice ...
(a)(1) A security-based swap dealer or major security-based swap participant that offers to enter into or enters into a security-based swap with a special entity, ...
(a) Definitions. For the purposes of this section: (1) The term contribution means any gift, subscription, loan, advance, or deposit of money or anything of ...
(a) In general. A security-based swap dealer and major security-based swap participant shall designate an individual to serve as a chief compliance officer on its ...
This is the SEC's liquidity risk management rule
Current report for open-end management investment companies
Each registered management investment company or exchange-traded fund organized as a unit investment trust, or series thereof, other than a registered open-end management investment company ...
(a) Until April 1, 2019, each registered management investment company subject to § 270.30b1–9 of this chapter must satisfy its reporting obligation under that section ...
(a) For the purposes only of Section 5 of the Act (15 U.S.C. 77e), the publication or distribution of quotes relating to security-based swaps that ...
This is the SEC's Regulation Best Interest