Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants | 17 CFR Part 240, Release No. 34-64766; File No. S7-25-11, RIN 3235-AL10 |
8/1/2011
The Securities and Exchange Commission has voted to propose rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions. More...
Interim Final Rule for Security-Based Swaps | 17 CFR PARTS 230, 240 and 260; Release Nos. 33-9231; 34-64794; 39-2475; File No. S7-26-11 |
7/1/2011
The Securities and Exchange Commission has provided additional guidance to clarify which U.S. securities laws will apply to security-based swaps starting July 16 -- the effective date of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 | SEC No. 2011-167, 17 CFR Parts 240 and 249; Release No. 34-64545; File No. S7-33-10; RIN 3235-AK78 |
8/12/2011
With its new whistleblower program officially becoming effective last Friday, the Securities and Exchange Commission has launched a new webpage for people to report a violation of the federal securities laws and apply for a financial award. More...
Implementation of the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 | 17 CFR Parts 240 and 249; [Release No. 34-64545; File No. S7-33-10]; RIN 3235-AK78 |
5/25/2011
The Securities and Exchange Commission has adopted rules to create a whistleblower program that rewards individuals who provide the agency with high-quality tips that lead to successful enforcement actions. More...
Investor Bulletin: Foreign Currency Exchange (Forex) Trading For Individual Investors | No. 2011-150 |
7/20/2011
The Securities and Exchange Commission has issued an investor bulletin highlighting some of the most significant risks that foreign currency exchange (forex) transactions may pose for individual investors. More...
Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940 | SEC No. 2011-145, SEC Release No. 3236 |
7/12/2011
The Securities and Exchange Commission has issued an order that raises, to adjust for inflation, two of the thresholds that determine whether an investment adviser can charge its clients performance fees. More...
Rule Under Dodd-Frank Act Defining “Family Offices” | SEC No. 2011-134 |
6/22/2011
The Securities and Exchange Commission has approved a new rule to define “family offices” that are to be excluded from the Investment Advisers Act of 1940. More...
Exemptions for Security-based Swaps Issued by Certain Clearing Agencies | 17 CFR PARTS 230, 240 and 260; Release Nos. 33-9222; 34-64639; 39-2474; File No. S7-22-11; RIN 3235-AL16 |
6/15/2011
The Securities and Exchange Commission has proposed rules that would provide certain clearing agencies with exemptions from the registration requirements of the Securities Act of 1933 and the Securities Exchange Act of 1934 for security-based swaps that they issue. More...
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 | 17 CFR Parts 240, 242, and 249 Release No. 34-64352; File No. S7-15-11 RIN 3235-AL14 |
4/27/2011
Securities and Exchange Commission has voted unanimously to propose amendments that would remove references to credit ratings in several rules under the Exchange Act. More...
Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings | 17 CFR PARTS 230 AND 239, Release No. 33-9211; File No. S7-21-11, RIN 3235-AK97 |
5/25/2011
The Securities and Exchange Commission has proposed a rule to deny certain securities offerings from qualifying for exemption from registration if they involve certain “felons and other bad actors." More...
