Rules & Regulations

(a) An OTC derivatives dealer shall establish, document, and maintain a system of internal risk management controls to assist it in managing the risks associated ...

(a) For the purpose of this section: (1) The term market access shall mean: (i) Access to trading in securities on an exchange or alternative ...

(a) Except as provided in paragraphs (b), (c), and (d) of this section, a broker or dealer shall not effect or enter into a contract ...

Every registrant under the Securities Act of 1933 shall file an annual report, on the appropriate form authorized or prescribed therefor, for the fiscal year ...

(a) If the registration statement under the Securities Act of 1933 did not contain certified financial statements for the registrant's last full fiscal year (or ...

Annual and other reports are not required with respect to Depositary Shares registered on Form F-6. The exemption in this section does not apply to ...

A registrant that is eligible to use Forms 40-F and 6-K and files reports in accordance therewith shall be deemed to satisfy the requirements of ...

(a) Where in connection with a succession by merger, consolidation, exchange of securities, acquisition of assets or otherwise, securities of any issuer that is not ...

If the duty of an issuer to file reports pursuant to section 15(d) of the Act as to any fiscal year is suspended as provided ...

(a) Every issuer that changes its fiscal closing date shall file a report covering the resulting transition period between the closing date of its most ...