Rules & Regulations

Users of Regulation D (§§230.500 et seq.) should note the following: (a) Regulation D relates to transactions exempted from the registration requirements of section 5 ...

Every asset-backed issuer subject to §240.13a-1 shall make reports on Form 10-D (§249.312 of this chapter). Such reports shall be filed within the period specified ...

An issuer that has received notice that it is the subject of a tender offer made under Section 14(d)(1) of the Act (15 U.S.C. 78n), ...

(a) An application for registration of a broker or dealer that is filed pursuant to section 15(b) of the Act (15 U.S.C. 78o(b)) shall be ...

(a)(1) Every broker or dealer exempted from the filing requirements of paragraph (a) of §240.17a-5 shall, not later than 17 business days after the close ...

The Securities Whistleblower Incentives and Protection provisions do not provide amnesty to individuals who provide information to the Commission. The fact that you may become ...

If a registration statement is prepared on a form available solely to investment companies registered under the Investment Company Act of 1940, or a business ...

(a) Definitions. For purposes of this section – (1) Affiliate of a security-based swap data repository means a person that, directly or indirectly, controls, is ...

(a) Definitions. For purposes of this section – (1) Non-resident security-based swap data repository means: (i) In the case of an individual, one who resides ...

(a) Definition. For purposes of this section, tag (including the term tagged) has the same meaning as set forth in Rule 11 of Regulation S-T ...