Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • FINRA Materials
        • FINRA: Rule by Rule
        • Government Securities Dealers
        • Government Securities: Rule by Rule
        • Muni Advisors
        • Muni Securities and Dealers
        • MSRB Materials
        • MSRB Rules: Rule by Rule
        • 100+ More Broker-Dealer Topics
        • Exchange Materials
        • SEC Materials
    • Commodity Exchange Act
      • Commodity Exchange Act
        • Overview
        • CFTC Supervision and CCO
        • Position Limits
        • Swap Materials
        • 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
        • Disclosures
        • Recordkeeping
        • Registration Process
        • Reporting on Form PQR, and Form PR
    • Advisers, Funds and Plans
      • Advisers, Funds and Plans
        • Investment Advisers Act: By Section and By Rule
        • Investment Advisers Materials
        • Investment Funds Materials
        • Definition of Investment Adviser
        • ERISA
        • Municipal Advisors
        • State Securities Law
        • Securities Law Enforcement
        • 100+ More Adviser and Funds Topics
        • Investment Companies
        • Overview of Exemptions from Registration under the ICA
        • Capital Structure, Senior Securities, Liquidity
        • Custody Requirements
        • IA Information Walls and Codes of Ethics
        • IA Marketing Materials
        • Funds
        • Form PF Reporting Requirement for Private Funds
    • Banking
      • Banking
        • Banking Materials
        • CFPB Materials
        • CFPB Rule by Rule
        • FDIC Materials
        • Federal Reserve System Materials
        • NCUA Materials
        • OCC Materials
        • More Banking Topics
        • FRA 23A and 23B and Reg W
        • Community Reinvestment Act
        • Volcker
        • Truth in Savings
        • Capital Requirements
        • Enforcement Procedures
        • Money Service Businesses
    • Products and Contracts
      • Products and Contracts
        • ESG / Climate Risk
        • Cannabis Finance
        • 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
        • More Products and Contracts
        • Asset-Backed Securities
        • Overview
        • ABS Qualifying Residential Mortgage and Other Exempt Loans
        • BD Communications about CMOs
        • Credit Rating Agencies and Credit Ratings
        • Credit Risk Retention
        • Due Diligence Reports
        • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
        • LIBOR and Indices
        • Marketplace Lending
        • Regulation AB
        • 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
      • Enforcement and Bad Acts
        • Enforcement and Bad Acts
          • Anti-Money Laundering
          • Cybersecurity and Data Protection
          • 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
              • Conflict Minerals
              • FINRA Private Placement Rules
              • Issuer Repurchases Rule 10b-18
              • New Issue Allocations
              • Regulation FD (Fair Disclosure)
              • Regulation M: Trading in Connection with a Distribution
              • Securities Offerings
              • More Issuer and Offering Topics
              • SA Rule 144 and Rule 145
              • SA Rule 144A
              • SA Rule 701: Compensatory Securities Offerings
              • Securities Act Section 3 Exemptions from Securities
              • SA S 3(a)(2): Govs, Munis, Banks
              • SA S 3(a)(9): Exchange Offers
              • Securities Act Section 4 Transaction Exemptions
        • Documents
          • Securities
            • Securities
              • Statutes
              • Investment Advisers Act
              • Investment Company Act
              • Securities Act
              • Securities Exchange Act
              • Securities Investor Protection Act
              • Trust Indenture Act
              • Rules
              • Investment Advisers Act
              • Investment Company Act
              • Securities Act
              • Securities Exchange Act
              • SIPC Rules
              • Trust Indenture Act Rules
              • 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
              • More Securities Laws, Rules and Other Documents
          • Commodity Exchange Act
            • Commodity Exchange Act
              • 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
              • CFPB Rules
              • Comptroller Rules
              • FDIC Rules
              • FRB Rules
              • Government Securities Act Rules
              • Bank Regulators
              • CFPB Materials
              • Comptroller Materials
              • FDIC Materials
              • FHFA Materials
              • FRS/FRB Materials
              • NCUA Materials
          • 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 and Sanctions
            • AML, FCPA and Sanctions
              • AML
              • Bank Secrecy Act
              • Bank Secrecy Act Rules
              • NY Penal Law, Article 470
              • FinCEN Advisories
              • FinCEN FAQs
              • FinCEN Federal Registers
              • More AML Laws, Rules and Other Documents
              • FCPA
              • 15 USC 78dd-1
              • 15 USC 78m
              • More FCPA Laws, Rules and Other Documents
              • Sanctions
              • Statutes Relevant to Sanctions
              • Sanctions Rule
              • OFAC Federal Registers
              • Executive Orders
              • More Sanctions Laws, Rules and Other Documents
          • Antitrust and CFIUS
            • Antitrust and CFIUS
              • Hart-Scott-Rodino
              • Act
              • HSR 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
          • Regulatory Change
            • News
            • Regulatory Events
            • Change Management Tracker
            • Alerts
          • Sign in
          Advanced Search

          Fried Frank Daily Focus

          News & Headlines

          Receive our daily newsletter

          1 result
          Search Narrowed by Text
          Search Terms

          Search Narrowed by Categories
          • Remove Antigua and Barbuda filter Antigua and Barbuda
          date:
          body of law:
          • AML Regulation Apply AML Regulation filter 1
          issuing jurisdiction:
          affected jurisdiction:
          • Remove Antigua and Barbuda filter Antigua and Barbuda
          • Iran Apply Iran filter 98
          • Russia Apply Russia filter 89
          • China Apply China filter 87
          • Venezuela Apply Venezuela filter 63
          • Ukraine Apply Ukraine filter 59
          • Albania Apply Albania filter 51
          • North Korea Apply North Korea filter 38
          • European Union Apply European Union filter 35
          • United Kingdom Apply United Kingdom filter 32
          • Syria Apply Syria filter 29
          • Cuba Apply Cuba filter 22
          • US - Federal Apply US - Federal filter 22
          • United States Apply United States filter 19
          • Canada Apply Canada filter 15
          • Hong Kong Apply Hong Kong filter 15
          • Sudan Apply Sudan filter 15
          • Burma (Myanmar) Apply Burma (Myanmar) filter 13
          • Brazil Apply Brazil filter 11
          • Turkey Apply Turkey filter 11
          • Belarus Apply Belarus filter 10
          • India Apply India filter 10
          • Indonesia Apply Indonesia filter 10
          • Japan Apply Japan filter 10
          • Panama Apply Panama filter 10
          • Yemen Apply Yemen filter 10
          • Ethiopia Apply Ethiopia filter 9
          • France Apply France filter 8
          • Germany Apply Germany filter 8
          • Mexico Apply Mexico filter 8
          • United Arab Emirates Apply United Arab Emirates filter 8
          • Afghanistan Apply Afghanistan filter 7
          • Australia Apply Australia filter 7
          • Iraq Apply Iraq filter 7
          • Singapore Apply Singapore filter 7
          • Italy Apply Italy filter 6
          • Nicaragua Apply Nicaragua filter 6
          • Pakistan Apply Pakistan filter 6
          • Ecuador Apply Ecuador filter 5
          • Lebanon Apply Lebanon filter 5
          • Ghana Apply Ghana filter 4
          • Saudi Arabia Apply Saudi Arabia filter 4
          • South Korea Apply South Korea filter 4
          • Spain Apply Spain filter 4
          • Sri Lanka Apply Sri Lanka filter 4
          • Switzerland Apply Switzerland filter 4
          • Trinidad and Tobago Apply Trinidad and Tobago filter 4
          • Tunisia Apply Tunisia filter 4
          • Algeria Apply Algeria filter 3
          • Bahamas Apply Bahamas filter 3
          • Bangladesh Apply Bangladesh filter 3
          • Bosnia and Herzegovina Apply Bosnia and Herzegovina filter 3
          • Botswana Apply Botswana filter 3
          • Colombia Apply Colombia filter 3
          • Iceland Apply Iceland filter 3
          • Libya Apply Libya filter 3
          • Mauritius Apply Mauritius filter 3
          • Mongolia Apply Mongolia filter 3
          • Netherlands Apply Netherlands filter 3
          • Taiwan Apply Taiwan filter 3
          • Vanuatu Apply Vanuatu filter 3
          • Zimbabwe Apply Zimbabwe filter 3
          • Angola Apply Angola filter 2
          • Barbados Apply Barbados filter 2
          • Burundi Apply Burundi filter 2
          • Cambodia Apply Cambodia filter 2
          • Guinea Apply Guinea filter 2
          • Haiti Apply Haiti filter 2
          • Israel Apply Israel filter 2
          • Jamaica Apply Jamaica filter 2
          • Malaysia Apply Malaysia filter 2
          • Mali Apply Mali filter 2
          • Malta Apply Malta filter 2
          • Micronesia Apply Micronesia filter 2
          • Nigeria Apply Nigeria filter 2
          • Somalia Apply Somalia filter 2
          • South Africa Apply South Africa filter 2
          • South Sudan Apply South Sudan filter 2
          • Tanzania Apply Tanzania filter 2
          • Thailand Apply Thailand filter 2
          • Uganda Apply Uganda filter 2
          • Vietnam Apply Vietnam filter 2
          • Bahrain Apply Bahrain filter 1
          • Belgium Apply Belgium filter 1
          • Belize Apply Belize filter 1
          • Bolivia Apply Bolivia filter 1
          • Burkina Faso Apply Burkina Faso filter 1
          • Cayman Islands Apply Cayman Islands filter 1
          • Comoros Apply Comoros filter 1
          • Cyprus Apply Cyprus filter 1
          • Denmark Apply Denmark filter 1
          • Dominican Republic Apply Dominican Republic filter 1
          • Egypt Apply Egypt filter 1
          • El Salvador Apply El Salvador filter 1
          • Equatorial Guinea Apply Equatorial Guinea filter 1
          • Gambia Apply Gambia filter 1
          • Greece Apply Greece filter 1
          • Hungary Apply Hungary filter 1
          • Ireland Apply Ireland filter 1
          • Jordan Apply Jordan filter 1
          • Kenya Apply Kenya filter 1
          • Laos Apply Laos filter 1
          • Latvia Apply Latvia filter 1
          • Luxembourg Apply Luxembourg filter 1
          • Macedonia Apply Macedonia filter 1
          • Marshall Islands Apply Marshall Islands filter 1
          • Montenegro Apply Montenegro filter 1
          • Morocco Apply Morocco filter 1
          • Nepal Apply Nepal filter 1
          • New Zealand Apply New Zealand filter 1
          • Papua New Guinea Apply Papua New Guinea filter 1
          • Peru Apply Peru filter 1
          • Philippines Apply Philippines filter 1
          • Poland Apply Poland filter 1
          • Senegal Apply Senegal filter 1
          • Seychelles Apply Seychelles filter 1
          • Slovenia Apply Slovenia filter 1
          • Sweden Apply Sweden filter 1
          • Uzbekistan Apply Uzbekistan filter 1
          author organization:
          news type:
          • Legal / Regulatory News Apply Legal / Regulatory News filter 1
          regulated activities:
          • AML Compliance Apply AML Compliance filter 1
          regulated entities:
          regulated products:
          • March 25, 2014

            FinCEN Issues Advisory on FATF-Identified Jurisdictions with AML/CFT Deficiencies

            FinCEN issued an Advisory regarding changes to the Financial Action Task Force's ("FATF") lists of jurisdictions with strategic Anti-Money Laundering and Counter-Terrorist Financing ("AML/CFT") deficiencies. These changes affect the due diligence obligations of U.S. financial institutions. First,...

          Request delivery of Fried Frank Regulatory Intelligence

          User menu

          • Terms of Use
          • Privacy
          Copyright @ 2022 Find Know Do; Fried Frank
          • Main menu
            • Topics
              • About News
              • Broker-Dealers
                • Overview
                • FINRA Materials
                • FINRA: Rule by Rule
                • Government Securities Dealers
                • Government Securities: Rule by Rule
                • Muni Advisors
                • Muni Securities and Dealers
                • MSRB Materials
                • MSRB Rules: Rule by Rule
                • 100+ More Broker-Dealer Topics
                • Separator for Broker-Dealer
                • Exchange Materials
                • SEC Materials
              • Glossaries
              • About Berkeley
              • Commodity Exchange Act
                • Overview
                • CFTC Supervision and CCO
                • Position Limits
                • Swap Materials
                • 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
                • Disclosures
                • Recordkeeping
                • Registration Process
                • Reporting on Form PQR, and Form PR
              • Expert Systems
              • Advisers, Funds and Plans
                • Investment Advisers Act: By Section and By Rule
                • Investment Advisers Materials
                • Investment Funds Materials
                • Definition of Investment Adviser
                • ERISA
                • Municipal Advisors
                • State Securities Law
                • Securities Law Enforcement
                • 100+ More Adviser and Funds Topics
                • Separator for Advisers and Funds
                • Investment Companies
                • Overview of Exemptions from Registration under the ICA
                • Capital Structure, Senior Securities, Liquidity
                • Custody Requirements
                • IA Information Walls and Codes of Ethics
                • IA Marketing Materials
                • Funds
                • Form PF Reporting Requirement for Private Funds
              • Contributors
              • Banking
                • Banking Materials
                • CFPB Materials
                • CFPB Rule by Rule
                • FDIC Materials
                • Federal Reserve System Materials
                • NCUA Materials
                • OCC Materials
                • More Banking Topics
                • Separator for Banking
                • FRA 23A and 23B and Reg W
                • Community Reinvestment Act
                • Volcker
                • Truth in Savings
                • Capital Requirements
                • Enforcement Procedures
                • Money Service Businesses
              • Help
              • Products and Contracts
                • ESG / Climate Risk
                • Cannabis Finance
                • 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
                • More Products and Contracts
                • Separator for Products and Contracts
                • Asset-Backed Securities
                • Overview
                • ABS Qualifying Residential Mortgage and Other Exempt Loans
                • BD Communications about CMOs
                • Credit Rating Agencies and Credit Ratings
                • Credit Risk Retention
                • Due Diligence Reports
                • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
                • LIBOR and Indices
                • Marketplace Lending
                • Regulation AB
                • TBAs and the MSFTA
              • Purpose
              • Credit and Insolvency
                • Overview
                • BD Insolvency
                • FCM Insolvency
                • Insolvency of Banks
                • Protected Financial Contracts
                • Security Interests and UCC
              • Enforcement and Bad Acts
                • Anti-Money Laundering
                • Cybersecurity and Data Protection
                • 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
                • Conflict Minerals
                • FINRA Private Placement Rules
                • Issuer Repurchases Rule 10b-18
                • New Issue Allocations
                • Regulation FD (Fair Disclosure)
                • Regulation M: Trading in Connection with a Distribution
                • Securities Offerings
                • More Issuer and Offering Topics
                • Separator for Issuers
                • SA Rule 144 and Rule 145
                • SA Rule 144A
                • SA Rule 701: Compensatory Securities Offerings
                • Securities Act Section 3 Exemptions from Securities
                • SA S 3(a)(2): Govs, Munis, Banks
                • SA S 3(a)(9): Exchange Offers
                • Securities Act Section 4 Transaction Exemptions
              • COVID-19 Patent Litigation Tracker
            • Documents
              • Securities
                • Statutes
                • Investment Advisers Act
                • Investment Company Act
                • Securities Act
                • Securities Exchange Act
                • Securities Investor Protection Act
                • Trust Indenture Act
                • Rules
                • Investment Advisers Act
                • Investment Company Act
                • Securities Act
                • Securities Exchange Act
                • SIPC Rules
                • Trust Indenture Act Rules
                • 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
                • More Securities Laws, Rules and Other Documents
              • Commodity Exchange Act
                • 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
                • CFPB Rules
                • Comptroller Rules
                • FDIC Rules
                • FRB Rules
                • Government Securities Act Rules
                • Bank Regulators
                • CFPB Materials
                • Comptroller Materials
                • FDIC Materials
                • FHFA Materials
                • FRS/FRB Materials
                • NCUA Materials
              • ERISA
                • Statutes
                • Employee Retirement Income Security Act
                • Internal Revenue Code Provisions Related to ERISA
                • Rules
                • ERISA Rules
                • 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 and Sanctions
                • AML
                • Bank Secrecy Act
                • Bank Secrecy Act Rules
                • NY Penal Law, Article 470
                • FinCEN Advisories
                • FinCEN FAQs
                • FinCEN Federal Registers
                • More AML Laws, Rules and Other Documents
                • separator for AML
                • FCPA
                • 15 USC 78dd-1
                • 15 USC 78m
                • More FCPA Laws, Rules and Other Documents
                • Sanctions
                • Statutes Relevant to Sanctions
                • Sanctions Rule
                • OFAC Federal Registers
                • Executive Orders
                • More Sanctions Laws, Rules and Other Documents
              • Antitrust and CFIUS
                • Hart-Scott-Rodino
                • Act
                • HSR Rules
                • HSR Guidance
                • HSR - Introductory Guide I
                • HSR - Introductory Guide II
                • HSR: Back to Basics Workshop Transcript
                  • 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
                • 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
            • Regulatory Change
              • News
              • Regulatory Events
              • Change Management Tracker
              • Alerts
            • Sign in
            • Account