Carl Ayers
This final rule establishes the compliance and other obligations facing derivatives clearing organization (DCO) as a result of Dodd-Frank reforms.
The Securities and Exchange Commission’s (“Commission”) National Exam Program (“NEP”) has identified the master/sub-account trading model as a vehicle that could be used to further ...
This new rule establishes a Commission certification procedure applicable to the offer or sale, to persons in the U.S., of a non-narrow-based security index futures ...
This final rule and interpretation deals with regulations governing off-exchange foreign currency transactions with members of the retail public (i.e., retail forex transactions) and makes ...
This Dodd-Frank-inspired regulation establishes registration requirements, statutory duties, core principles and certain compliance obligations for registered swap data repositories (SDRs).