Skip to main content
Topics
Broker-Dealers
Broker-Dealers
Overview
Back Office
Business Continuity
Insider Trading
Registration Process
Capital Requirements
BD and FCM Risk Assessment Rules
Custody Rules
Liquidity
Securities Margin
BD Employees: Outside and Personal Activities
More Broker-Dealer Topics
Sales and Trading
Telemarketing
Political Contributions (Pay to Play)
BD Best Interest; IA Fiduciary Guidance
Research
Short Sales
Types of Firms
Government Securities Dealers
Government. Securities: Registration Requirement
Muni Securities and Dealers
Non-U.S. BDs
Commodity Exchange Act
Commodity Exchange Act
Overview
CFTC Supervision and CCO
Position Limits
FCMs
FCM / IB Registration Requirement
BD and FCM Risk Assessment Rules
BD and FCM Subordination Agreements
BD and CEA Withdrawals of Capital
FCM Capital
FCMs and Swap Dealer Custody
More CEA Topics
Swaps and Swap Dealers
Margin for Uncleared Swaps
FCMs and Swap Dealer Custody
Swap Dealer and SBSD Capital
CPOs and CTAs
Registration Requirement
Registration Process
Disclosure, Reporting and Recordkeeping
FERC Federal Registers
Advisers and Funds
Advisers and Funds
Overview
Municipal Advisors
IA Regulation
BD Best Interest; IA Fiduciary Guidance
Business Continuity
Incentive Compensation
Marketing Materials
Pay to Play
Recordkeeping and Reporting
Registration Requirement
SEA 13(f) Position Reporting
Soft Dollars
Custody Requirements
More Adviser and Funds Topics
Investment Companies
Capital Structure, Senior Securities, Liquidity
Custody Requirements
Banking
Banking
Overview
FRA 23A and 23B and Reg W
Community Reinvestment Act
Volcker
Truth in Lending
Truth in Savings
Capital Requirements
Enforcement Procedures
Consumer Leasing
Products and Contracts
Products and Contracts
Commodity Options
Crypto and Initial Coin Offerings
Foreign Currency
Government Securities and Dealers
LIBOR and Indices
Municipal Securities and Dealers
Securities Lending
Securities Options
Security Futures Products
TBAs and the MSFTA
Credit and Insolvency
Credit and Insolvency
Overview
BD Insolvency
FCM Insolvency
Insolvency of Banks
Protected Financial Contracts
Security Interests and UCC
Cross-Regulatory
Cross-Regulatory
Cybersecurity and Data Protection
Political Contributions (Pay to Play)
State Law
Telemarketing
ERISA and Tax
ERISA and Tax
ERISA
Overview
DOL Fiduciary Rule
Tax
FATCA
Enforcement and Bad Acts
Enforcement and Bad Acts
Anti-Money Laundering
Benchmark Enforcement
Class Actions
Disqualifications and Waivers
Foreign Corrupt Practices Act
Insider Trading
SEC and FINRA
Sanctions
Whistleblowers
Investors
Investors
Comm. on Foreign Investment in US ("CFIUS")
Hart-Scott-Rodino
SEA 13(f) Position Reporting
Issuers and Offerings
Issuers and Offerings
Asset-Backed Securities
Conflict Minerals
Issuer Repurchases Rule 10b-18
Issuer Securities Regulation and Del. Corp. Law
Regulation FD (Fair Disclosure)
SA and TIA Overview
Securities Offerings
Conflicts in Public Offerings
Corporate Financing Rule
FINRA Private Placement Rules (5122 and 5123)
Regulatory Policy
Regulatory Policy
Dodd-Frank
Policy
Documents
Federal Securities
Federal Securities
Statutes
Investment Advisers Act
Investment Company Act
Securities Act
Securities Exchange Act
Rules
Investment Advisers Act
Investment Company Act
Securities Act
Securities Exchange Act
Securities Act / Securities Exchange Act Regulations
More Federal Securities Laws, Rules and Other Documents
SEC Administrative Materials
SEC Federal Registers
SEC Enforcement Releases
SEC No-Action Letters
SEC Forms
Securities SROs
FINRA Rules
MSRB Rules
FINRA / MSRB Notices
SRO Federal Registers
SRO Enforcement Releases
Commodity Exchange Act and Energy
Commodity Exchange Act and Energy
CEA and Related Rules
CEA
CFTC Rules
NFA Rules
CEA Judicial Decisions
Supreme Court and Circuit Court Cases
More CEA-Related Documents
CFTC Documents
CFTC Fact Sheets
CEA FAQs
CEA Federal Registers
CFTC Guidance on Cross-Border Futures Transactions
CFTC Guidance on Cross-Border Swaps
CFTC Orders
CFTC No-Action Letters
CEA Speeches, Statements and Testimony
CEA Studies and Reports
NFA Documents
NFA Notices
NFA Regulatory Guidance
Federal Banking
Federal Banking
Statutes
Antitying Act
Bank Holding Company Act of 1956
Community Reinvestment Act
Consumer Credit Protection Statutes
Truth in Lending Act
Consumer Leasing Act
Fair Credit Reporting Act
Equal Credit Opportunity Act
Fair Debt Collection Practices Act
Electronic Fund Transfers Act
Federal Deposit Insurance Act
Federal Reserve Act
International Banking Act
National Banking Act
Real Estate Settlement Procedures Act
More Banking Laws, Rules and Other Documents
Rules
Comptroller Rules
FDIC Rules
FRB Rules
Government Securities Act Rules
CFPB Rules
Banking Guidance
Comptroller Handbooks
Comptroller Interpretive Letters
FDIC Financial Institution Letters
FRB Compliance Guides
FRB Supervision and Regulation Letters
CFPB Supervisory Highlights
ERISA
ERISA
Statutes
Employee Retirement Income Security Act
Internal Revenue Code Provisions Related to ERISA
Rules
ERISA Rules
Internal Revenue Regulations Related to ERISA
Other Documents
DOL Federal Registers
DOL FAQs
DOL Glossaries
Pension Benefit Guaranty Corporation Federal Registers
Credit
Credit
Bankruptcy Laws
Bankruptcy Code
Federal Deposit Insurance Corporation Improvement Act
SIPA
Securities Investor Protection Act
Securities Investor Protection Corporation Rules
SIPC Letters and Interpretations
SIPC Annual Reports
State Law
New York Statute
Other Documents
Bankruptcy Basics
Hague Convention
Court Decisions
NYDFS Letters on Bank Insolvency
AML, FCPA, Sanctions
AML, FCPA, Sanctions
AML
Bank Secrecy Act
Bank Secrecy Act Rules
Federal Crime of Money Laundering
NY Penal Law, Article 470
USA Patriot Act
FinCEN Advisories
FinCEN FAQs
FinCEN Federal Registers
More AML Laws, Rules and Other Documents
FCPA
15 USC 78dd
15 USC 78m
More FCPA Laws, Rules and Other Documents
Sanctions
Statutes Relevant to Sanctions
Sanctions Rule
OFAC Federal Registers
Executive Orders
FCPA Resource Guide
More Sanctions Laws, Rules and Other Documents
NASAA and State Law
NASAA and State Law
NASAA
Uniform Securities Act
Uniform Securities Act (1956), As Amended
Model Rules: Advisers
Model Rules: Broker-Dealers
Model Rules: Offerings
Delaware
Delaware General Corporation Law
New York Statutes
Martin Act
Requirement of Written Agreement
Anti-Money Laundering
New York Rules and Interpretations
Cybersecurity Requirements for Financial Services Companies
Virtual Currencies Regulation
Annuity Regulations
NYDFS Letters on Bank Insolvency
Antitrust and CFIUS
Antitrust and CFIUS
Hart-Scott-Rodino
Act
Rules
HSR Guidance
HSR - Introductory Guide I
HSR - Introductory Guide II
HSR: Back to Basics Workshop Transcript
The Most Frequently Asked HSR Questions
CFIUS
Defense Production Act
Rules
Federal Registers
Executive Orders
Statutes, Rules and Public Laws
Statutes, Rules and Public Laws
All Statutes
All Rules
All Public Laws
Analytic Materials
Analytic Materials
Cabinet Materials
Broker-Dealer Guide
CEA Guide
Hedge Fund Guide
Pamphlets
Anti-Money Laundering Regulation for Financial Institutions
Blue Sky Law Registration Requirements
Guide to Federal Income Tax of Hedge Fund
Section 23A for Broker-Dealers
Quick Guide to U.S. Economic Sanctions
More Legal Writings
Governmental Materials
SEC Compliance Guides
SEC Guide to Broker-Dealer Registration
SEC Guide to ICA Registration
SEC Guidance for Newly-Registered Investment Advisers
FRB Compliance Guides
FRB Supervision and Regulation Letters
Comptroller Handbooks
Comptroller Interpretive Letters
FDIC Financial Institution Letters
Individuals and Organizations
Individuals and Organizations
Speeches, Statements & Testimony
Elizabeth A. Warren
Steven T. Mnuchin
J. Christopher Giancarlo
Jerome H. Powell
Randal Quarles
Walter Jay Clayton
Hester Peirce
Kara M. Stein
Lael Brainard
Robert Jackson
All Individuals
Reports
Alternative Reference Rates Committee
Congressional Research Service
Financial Stability Oversight Council
Futures Industry Association
Government Accountability Office
Investment Company Institute
Managed Funds Association
North American Securities Administrators Association
Office of Financial Research
Securities Industry and Financial Markets Association
Events
News
Tools
Glossaries
Interactive Applications
About
About News
Contributors
Help
Purpose
Login
Advanced Search
Use Citation
Search
Advanced Search
Use Citation
Search
January 17, 2019
IOSCO Provides Guidance to Audit Committees
IOSCO recommended "good practices" for the "audit committees of listed companies in supporting and promoting external audit quality."
View More News
Featured Book
BD Law, Top to Bottom
Lofchie's Guide to Broker-Dealer Regulation
The Cabinet and its contributors have been endorsed by
See All Awards
Main menu
Topics
Broker-Dealers
Overview
Back Office
Business Continuity
Insider Trading
Registration Process
Capital Requirements
BD and FCM Risk Assessment Rules
Custody Rules
Liquidity
Securities Margin
BD Employees: Outside and Personal Activities
More Broker-Dealer Topics
Separator for Broker-Dealer
Sales and Trading
Telemarketing
Political Contributions (Pay to Play)
BD Best Interest; IA Fiduciary Guidance
Research
Short Sales
Types of Firms
Government Securities Dealers
Government. Securities: Registration Requirement
Muni Securities and Dealers
Non-U.S. BDs
Commodity Exchange Act
Overview
CFTC Supervision and CCO
Position Limits
FCMs
FCM / IB Registration Requirement
BD and FCM Risk Assessment Rules
BD and FCM Subordination Agreements
BD and CEA Withdrawals of Capital
FCM Capital
FCMs and Swap Dealer Custody
More CEA Topics
Separator for Commodity
Swaps and Swap Dealers
Margin for Uncleared Swaps
FCMs and Swap Dealer Custody
Swap Dealer and SBSD Capital
CPOs and CTAs
Registration Requirement
Registration Process
Disclosure, Reporting and Recordkeeping
FERC Federal Registers
Advisers and Funds
Overview
Municipal Advisors
IA Regulation
BD Best Interest; IA Fiduciary Guidance
Business Continuity
Incentive Compensation
Marketing Materials
Pay to Play
Recordkeeping and Reporting
Registration Requirement
SEA 13(f) Position Reporting
Soft Dollars
Custody Requirements
More Adviser and Funds Topics
Separator for Advisers and Funds
Investment Companies
Capital Structure, Senior Securities, Liquidity
Custody Requirements
Banking
Overview
FRA 23A and 23B and Reg W
Community Reinvestment Act
Volcker
Truth in Lending
Truth in Savings
Capital Requirements
Enforcement Procedures
Consumer Leasing
Products and Contracts
Commodity Options
Crypto and Initial Coin Offerings
Foreign Currency
Government Securities and Dealers
LIBOR and Indices
Municipal Securities and Dealers
Separator for Products and Contracts
Securities Lending
Securities Options
Security Futures Products
TBAs and the MSFTA
Credit and Insolvency
Overview
BD Insolvency
FCM Insolvency
Insolvency of Banks
Protected Financial Contracts
Security Interests and UCC
Cross-Regulatory
Cybersecurity and Data Protection
Political Contributions (Pay to Play)
State Law
Telemarketing
ERISA and Tax
ERISA
Overview
DOL Fiduciary Rule
Separator for ERISA and Tax
Tax
FATCA
Enforcement and Bad Acts
Anti-Money Laundering
Benchmark Enforcement
Class Actions
Disqualifications and Waivers
Foreign Corrupt Practices Act
Insider Trading
SEC and FINRA
Sanctions
Whistleblowers
Investors
Comm. on Foreign Investment in US ("CFIUS")
Hart-Scott-Rodino
SEA 13(f) Position Reporting
Issuers and Offerings
Asset-Backed Securities
Conflict Minerals
Issuer Repurchases Rule 10b-18
Issuer Securities Regulation and Del. Corp. Law
Regulation FD (Fair Disclosure)
SA and TIA Overview
Securities Offerings
Conflicts in Public Offerings
Corporate Financing Rule
FINRA Private Placement Rules (5122 and 5123)
Regulatory Policy
Dodd-Frank
Policy
Documents
Federal Securities
Statutes
Investment Advisers Act
Investment Company Act
Securities Act
Securities Exchange Act
Rules
Investment Advisers Act
Investment Company Act
Securities Act
Securities Exchange Act
Securities Act / Securities Exchange Act Regulations
More Federal Securities Laws, Rules and Other Documents
separator for securities
SEC Administrative Materials
SEC Federal Registers
SEC Enforcement Releases
SEC No-Action Letters
SEC Forms
Securities SROs
FINRA Rules
MSRB Rules
FINRA / MSRB Notices
SRO Federal Registers
SRO Enforcement Releases
Commodity Exchange Act and Energy
CEA and Related Rules
CEA
CFTC Rules
NFA Rules
CEA Judicial Decisions
Supreme Court and Circuit Court Cases
More CEA-Related Documents
Separator for Commodities
CFTC Documents
CFTC Fact Sheets
CEA FAQs
CEA Federal Registers
CFTC Guidance on Cross-Border Futures Transactions
CFTC Guidance on Cross-Border Swaps
CFTC Orders
CFTC No-Action Letters
CEA Speeches, Statements and Testimony
CEA Studies and Reports
NFA Documents
NFA Notices
NFA Regulatory Guidance
Federal Banking
Statutes
Antitying Act
Bank Holding Company Act of 1956
Community Reinvestment Act
Consumer Credit Protection Statutes
Truth in Lending Act
Consumer Leasing Act
Fair Credit Reporting Act
Equal Credit Opportunity Act
Fair Debt Collection Practices Act
Electronic Fund Transfers Act
Federal Deposit Insurance Act
Federal Reserve Act
International Banking Act
National Banking Act
Real Estate Settlement Procedures Act
More Banking Laws, Rules and Other Documents
separator for banking
Rules
Comptroller Rules
FDIC Rules
FRB Rules
Government Securities Act Rules
CFPB Rules
Banking Guidance
Comptroller Handbooks
Comptroller Interpretive Letters
FDIC Financial Institution Letters
FRB Compliance Guides
FRB Supervision and Regulation Letters
CFPB Supervisory Highlights
ERISA
Statutes
Employee Retirement Income Security Act
Internal Revenue Code Provisions Related to ERISA
Rules
ERISA Rules
DOL Fiduciary Rule (Final)
DOL Fiduciary Rule (Proposed)
Internal Revenue Regulations Related to ERISA
Separator for ERISA
Other Documents
DOL Federal Registers
DOL FAQs
DOL Glossaries
Pension Benefit Guaranty Corporation Federal Registers
Credit
Bankruptcy Laws
Bankruptcy Code
Federal Deposit Insurance Corporation Improvement Act
SIPA
Securities Investor Protection Act
Securities Investor Protection Corporation Rules
SIPC Letters and Interpretations
SIPC Annual Reports
separator for credit
State Law
New York Statute
Other Documents
Bankruptcy Basics
Hague Convention
Court Decisions
NYDFS Letters on Bank Insolvency
AML, FCPA, Sanctions
AML
Bank Secrecy Act
Bank Secrecy Act Rules
Federal Crime of Money Laundering
NY Penal Law, Article 470
USA Patriot Act
FinCEN Advisories
FinCEN FAQs
FinCEN Federal Registers
More AML Laws, Rules and Other Documents
separator for AML
FCPA
15 USC 78dd
15 USC 78m
More FCPA Laws, Rules and Other Documents
Sanctions
Statutes Relevant to Sanctions
Sanctions Rule
OFAC Federal Registers
Executive Orders
FCPA Resource Guide
More Sanctions Laws, Rules and Other Documents
NASAA and State Law
NASAA
Uniform Securities Act
Uniform Securities Act (1956), As Amended
Model Rules: Advisers
Model Rules: Broker-Dealers
Model Rules: Offerings
Delaware
Delaware General Corporation Law
Separator for state law
New York Statutes
Martin Act
Requirement of Written Agreement
Anti-Money Laundering
New York Rules and Interpretations
Cybersecurity Requirements for Financial Services Companies
Virtual Currencies Regulation
Annuity Regulations
NYDFS Letters on Bank Insolvency
Antitrust and CFIUS
Hart-Scott-Rodino
Act
Rules
HSR Guidance
HSR - Introductory Guide I
HSR - Introductory Guide II
HSR: Back to Basics Workshop Transcript
FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
The Most Frequently Asked HSR Questions
separator for antitrust
CFIUS
Defense Production Act
Rules
Federal Registers
Executive Orders
Statutes, Rules and Public Laws
All Statutes
All Rules
All Public Laws
separator for statutes
Analytic Materials
Cabinet Materials
Broker-Dealer Guide
Introduction
What is a Security?
Registration Requirement
How to Register
Employees and APs
Customers
Communications
Research
Trading
Capital Requirements
Custody
ERISA
Insolvency of Broker-Dealers
Internal Investigations
Margin and Credit
Non-U.S. Broker-Dealers
Records, Reports and Inspections
Supervision
Insider Trading
CEA Guide
Introduction to the CEA
What Is a Swap and Other Jurisdictional Questions
What Is a Pool; CPO/CTA Registration Requirement
Application for CPO/CTA Registration
Trading
Margin
Supervision
Non-U.S. Pools
Non-U.S. FCMs and Futures
Insolvency
Appendices
Hedge Fund Guide
Introduction
Documentation
Adviser Registration Requirement
Adviser Registration Process
Issuer Exemptions Under the ICA and Exchange Act
Securities Act and State Registration Exemptions
Broker-Dealer and other Sales Issues
Communications
Trading
Ownership and Custody
Margin and Credit
Records, Reports, and Inspections
Supervision and Code of Ethics
ERISA
Relationships with Banks
Pamphlets
Anti-Money Laundering Regulation for Financial Institutions
Blue Sky Law Registration Requirements
Guide to Federal Income Tax of Hedge Fund
Section 23A for Broker-Dealers
Quick Guide to U.S. Economic Sanctions
More Legal Writings
separator for legal writing
Governmental Materials
SEC Compliance Guides
SEC Guide to Broker-Dealer Registration
SEC Guide to ICA Registration
SEC Guidance for Newly-Registered Investment Advisers
FRB Compliance Guides
FRB Supervision and Regulation Letters
Comptroller Handbooks
Comptroller Interpretive Letters
FDIC Financial Institution Letters
Individuals and Organizations
Speeches, Statements & Testimony
White House / President
Elizabeth A. Warren
Executive Orders
Memoranda
Steven T. Mnuchin
News
J. Christopher Giancarlo
Regulatory Guidance
Jerome H. Powell
Statutes
Glossary
Randal Quarles
News
Walter Jay Clayton
All Government Documents and Individuals
Hester Peirce
Speeches, Statements & Testimony
Studies and Reports
Kara M. Stein
Lael Brainard
Robert Jackson
All Individuals
Separator for government
Reports
Alternative Reference Rates Committee
Congressional Research Service
Financial Stability Oversight Council
Futures Industry Association
Government Accountability Office
Investment Company Institute
Managed Funds Association
North American Securities Administrators Association
Office of Financial Research
Securities Industry and Financial Markets Association
Events
News
Tools
Glossaries
Interactive Applications
About
About News
Contributors
Help
Purpose
Login
Account
