Carl Ayers
The rules further defined the terms ‘‘swap dealer,’’ ‘‘security-based swap dealer,’’ ‘‘major swap participant,’’ ‘‘major security-based swap participant’’ and ‘‘eligible contract participant.’’ Only the rules ...
This correction fixes an earlier regulation regarding Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management, and Core Principles and Other ...
These new regulations, called for by Dodd-Frank, create new or amended rules, guidance, and acceptable practices that apply to the designation and operation of contract ...
Section 205(a)(2) of the Advisers Act generally makes it unlawful for an SEC-registered adviser to enter into or perform any investment advisory contract unless the ...
Biography of Carl Ayers
This final rule introduces the Dodd-Frank reforms to require documentation between a customer and a futures commission merchant on clearing trades.
Sections 205(a)(2) and (3) of the Advisers Act generally prohibit registered advisers, and advisers required to be registered, from entering into, extending, renewing, or performing ...
An open-end or closed-end investment company ("fund") registered under the Investment Company Act of 1940 ("Investment Company Act") may seek to arrange a secured financing ...
These are technical amendments to the accredited investor standard under Regulation D.