This is an SEC final rule released in July 2011 to foist new reporting requirements on large traders in response to the 2010 “flash crash.”
SEC Speech: A Step Toward Enhanced Market Surveillance, by Commissioner Luis A. Aguilar, on July 26, 2011 Speech by SEC Commissioner: A Step Toward Enhanced ...
SEC Speech: Re-designing the Eligibility Criteria for Short-Form Registration, by Commissioner Luis A. Aguilar, on July 26, 2011 Speech by SEC Commissioner: Re-designing the Eligibility ...
SEC Speech: Continued Efforts to Improve the Regulation of Asset-Backed Securities, by Commissioner Luis A. Aguilar, on July 26, 2011 Speech by SEC Commissioner: Continued ...
This is the main SEC rule affecting investment advisers due to the Dodd-Frank reform law. This was passed in June 2011 and appeared in the ...
This is an SEC proposal, prompted by Dodd-Frank, related to business conduct standards for security-based swap dealers and major security-based swap participants.
This interim final rule from July 2011 provides exemptions for security-based swaps due to Dodd-Frank.
This is a proposed rule from the SEC in 2011 dealing with custody. It would require broker-dealers to file a new Form Custody. This is ...
SEC Speech: Bringing Transparency and Fair Dealing to the Market for Security-Based Swaps, by Commissioner Luis A. Aguilar, on June 29, 2011 Speech by SEC ...
This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...