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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
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
Retail FX and FDMs
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
Swap and SBS Data Repositories
Margin for Uncleared Swaps
Swaps Trade Reporting
FCMs and Swap Dealer Custody
Swap Dealer and SBSD Capital
CPOs and CTAs
Registration Requirement
Registration Process
Disclosure, Reporting and Recordkeeping
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
Products and Contracts
Commodity Options
Crypto and Initial Coin Offerings
Foreign Currency
Government Securities and Dealers
Municipal Securities and Dealers
Separator for Products and Contracts
Securities Lending
Securities Options
Security Futures Products
TBAs and the MSFTA
LIBOR and Indices
Banking
Overview
FRA 23A and 23B and Reg W
Community Reinvestment Act
Volcker
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
Broker-Dealers and ERISA
DOL Fiduciary Rule
ERISA for Hedge Funds and Investment Managers
Separator for ERISA and Tax
Tax
FATCA
Renewable Energy Tax
Enforcement and Bad Acts
Anti-Money Laundering
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
Regulatory Policy
Dodd-Frank
Policy
Documents
Legal Writing
Statutes, Rules and Public Laws
Studies and Comments
Securities
CEA Regulation
Banking
Other Bodies of Law
Government
Individuals
Events
News
Tools
Glossaries
KDS
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