This is the SEC's extension of the principal trading rule. This rule would sunset in 2013.
The SEC's 2010 release adjusting fees for IARD filings.
This is a proposed rule issued by the SEC in 2010 related to an exception to mandatory clearing of security-based swaps, one of the reforms ...
This is a jointly proposed rule from the SEC and the CFTC that lays out definitions for swap dealer, security-based swap dealer, major security—based swap ...
This is a Swap proposal from the SEC.
This is the SEC's proposal, released in November 2010, that carries the whistleblower provisions taken from the Dodd-Frank regulatory reform law.
In this final rule, the SEC extended the compliance deadline from Nov. 10, 2010 until Feb. 28, 2011.
An SEC proposal in 2010 growing out of Dodd-Frank and concerning security-based swaps.
The SEC's proposed rule released in October 2010 regarding potential new reporting obligations for institutional investment managers around their proxy votes.
This is an SEC proposal from October 2010, again, resulting from Dodd-Frank, that would require any issuer registering the offer and sale of an asset-backed ...