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                  • 196551 Apply 196551 filter 7
                  • 303340 Apply 303340 filter 7
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                  • 165501 Apply 165501 filter 6
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                  • 195278 Apply 195278 filter 6
                  • 302825 Apply 302825 filter 6
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                  • 165550 Apply 165550 filter 4
                  • 166002 Apply 166002 filter 4
                  • 166753 Apply 166753 filter 4
                  • 167205 Apply 167205 filter 4
                  • 165492 Apply 165492 filter 3
                  • 165537 Apply 165537 filter 3
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                  • 166004 Apply 166004 filter 3
                  • 166431 Apply 166431 filter 3
                  • 159877 Apply 159877 filter 2
                  • 165244 Apply 165244 filter 2
                  • 165245 Apply 165245 filter 2
                  • 185985 Apply 185985 filter 2
                  • 185987 Apply 185987 filter 2
                  • 120152 Apply 120152 filter 1
                  regulatory status:
                  • Effective Apply Effective filter 22974
                  • Rescinded Apply Rescinded filter 1504
                  • Rules In Transition Apply Rules In Transition filter 1290
                  • This rule is effective, but an amendment to the rule has been proposed. Apply This rule is effective, but an amendment to the rule has been proposed. filter 610
                  • This rule is proposed, but not adopted. Apply This rule is proposed, but not adopted. filter 477
                  • This rule is effective; a rule amendment has been adopted but is not yet effective. Apply This rule is effective; a rule amendment has been adopted but is not yet effective. filter 121
                  • This rule is effective, but it is proposed to be rescinded. Apply This rule is effective, but it is proposed to be rescinded. filter 60
                  • This rule has been adopted, but is not yet effective. Apply This rule has been adopted, but is not yet effective. filter 29
                  • This rule is effective, but it is scheduled to be rescinded. Apply This rule is effective, but it is scheduled to be rescinded. filter 4
                  • Statutes in Transition Apply Statutes in Transition filter 2
                  • This statutory provision is effective, but an amendment to the provision has been proposed. Apply This statutory provision is effective, but an amendment to the provision has been proposed. filter 1
                  • This statutory provision is effective; an amendment has been adopted but is not yet effective. Apply This statutory provision is effective; an amendment has been adopted but is not yet effective. filter 1
                  regulated activities:
                  • Enforcement Action Apply Enforcement Action filter 58388
                  • Bank Transactions and Startups Apply Bank Transactions and Startups filter 6360
                  • Trading Apply Trading filter 4547
                  • Employees Apply Employees filter 2940
                  • Regulatory Fees Apply Regulatory Fees filter 2931
                  • Activity Limits Apply Activity Limits filter 2742
                  • Capital Apply Capital filter 2694
                  • Central Clearing Apply Central Clearing filter 2688
                  • Meetings Apply Meetings filter 2673
                  • Communications Apply Communications filter 2601
                  • Enforcement Procedures Apply Enforcement Procedures filter 2417
                  • Reg. Reporting Apply Reg. Reporting filter 2211
                  • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 1965
                  • Registration Requirement Apply Registration Requirement filter 1959
                  • Registration Process Apply Registration Process filter 1799
                  • Margining Apply Margining filter 1670
                  • Exchange Listing Apply Exchange Listing filter 1656
                  • Governance Apply Governance filter 1591
                  • Disclosures to Customers Apply Disclosures to Customers filter 1478
                  • Trade Reporting Apply Trade Reporting filter 1383
                  • Cross-Border Apply Cross-Border filter 1361
                  • Supervision / Compliance Apply Supervision / Compliance filter 1361
                  • Lending Apply Lending filter 1349
                  • Ownership Apply Ownership filter 1228
                  • Liquidation Apply Liquidation filter 1154
                  • Custody Apply Custody filter 1118
                  • Accounting and Audit Apply Accounting and Audit filter 1098
                  • Disclosures to Public Investors Apply Disclosures to Public Investors filter 1084
                  • Recordkeeping Apply Recordkeeping filter 1081
                  • Trade Halts Apply Trade Halts filter 983
                  • Misconduct Apply Misconduct filter 972
                  • Regulatory Activities Apply Regulatory Activities filter 967
                  • Cybersecurity Apply Cybersecurity filter 961
                  • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 886
                  • Arbitration / Litigation Apply Arbitration / Litigation filter 883
                  • Risk Management Apply Risk Management filter 849
                  • AML Compliance Apply AML Compliance filter 833
                  • Trade Execution / Quoting Apply Trade Execution / Quoting filter 798
                  • Position Limits Apply Position Limits filter 745
                  • Proxies / Voting Apply Proxies / Voting filter 731
                  • Conflicts Apply Conflicts filter 690
                  • Technology (not Cyber) Apply Technology (not Cyber) filter 629
                  • Marketing Materials Apply Marketing Materials filter 617
                  • Exempt Sales Apply Exempt Sales filter 596
                  • Distribution Procedures Apply Distribution Procedures filter 595
                  • Privacy / Confi. Apply Privacy / Confi. filter 531
                  • Stress Testing Apply Stress Testing filter 530
                  • Confirmations Apply Confirmations filter 510
                  • Short Selling Apply Short Selling filter 502
                  • Liquidity Requirements Apply Liquidity Requirements filter 483
                  • Qualifications Apply Qualifications filter 473
                  • Advice and Fiduciary Apply Advice and Fiduciary filter 470
                  • Securities Activities of Banks Apply Securities Activities of Banks filter 443
                  • Compensation Apply Compensation filter 433
                  • Private Placements (Reg D) Apply Private Placements (Reg D) filter 427
                  • Trading Misconduct (not Insider Trading) Apply Trading Misconduct (not Insider Trading) filter 417
                  • Diversity / Discrimination Apply Diversity / Discrimination filter 412
                  • Business Continuity Apply Business Continuity filter 410
                  • Valuation and Appraisal Apply Valuation and Appraisal filter 408
                  • Waiver Apply Waiver filter 398
                  • Capital Markets Apply Capital Markets filter 391
                  • Public Offerings Apply Public Offerings filter 389
                  • Volcker Apply Volcker filter 385
                  • Regulatory Oversight Apply Regulatory Oversight filter 383
                  • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 378
                  • Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 352
                  • Insider Trading Apply Insider Trading filter 347
                  • Regulatory Procedures Apply Regulatory Procedures filter 346
                  • Permitted Investments Apply Permitted Investments filter 331
                  • Credit Reporting Apply Credit Reporting filter 315
                  • Operations Apply Operations filter 310
                  • Capital Structure Apply Capital Structure filter 295
                  • Sales Apply Sales filter 278
                  • Regulatory Co-operation Apply Regulatory Co-operation filter 272
                  • Trade Settlement (not Central Clearing) Apply Trade Settlement (not Central Clearing) filter 268
                  • Funds Transfer Apply Funds Transfer filter 251
                  • Training / Continuing Ed. Apply Training / Continuing Ed. filter 244
                  • Political Contributions (Pay to Play) Apply Political Contributions (Pay to Play) filter 242
                  • Regulatory Personnel Apply Regulatory Personnel filter 227
                  • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 224
                  • Community Lending Apply Community Lending filter 219
                  • Regulatory Exemptions Apply Regulatory Exemptions filter 216
                  • Close-Out Apply Close-Out filter 213
                  • Account Handling Apply Account Handling filter 208
                  • CCO Obligations Apply CCO Obligations filter 204
                  • Algo / Electronic Apply Algo / Electronic filter 201
                  • Exchange and Tender Offers Apply Exchange and Tender Offers filter 181
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                  • Corporate Form Apply Corporate Form filter 174
                  • Bad Boys Apply Bad Boys filter 173
                  • Research Apply Research filter 172
                  • Rulemaking Apply Rulemaking filter 172
                  • Hiring / Firing Apply Hiring / Firing filter 169
                  • Jurisdiction: Fed / Local or by Geography Apply Jurisdiction: Fed / Local or by Geography filter 163
                  • Disclosures: Financial Statements (Reg S-X) Apply Disclosures: Financial Statements (Reg S-X) filter 157
                  • Branch Offices Apply Branch Offices filter 156
                  • Legislative / Rulemaking Process Apply Legislative / Rulemaking Process filter 155
                  • Debt Collection Apply Debt Collection filter 151
                  • Soft Dollars Apply Soft Dollars filter 151
                  • Fees to Customers Apply Fees to Customers filter 147
                  • Risk Retention Apply Risk Retention filter 146
                  • Sales Misconduct Apply Sales Misconduct filter 140
                  • Telemarketing Apply Telemarketing filter 139
                  • Trading Markups and Fees Apply Trading Markups and Fees filter 131
                  • Leasing Apply Leasing filter 128
                  • Trade Documentation Apply Trade Documentation filter 120
                  • Insurance / Bonding Apply Insurance / Bonding filter 118
                  • Statements Apply Statements filter 112
                  • SA Rule 144 / 145 Sales Apply SA Rule 144 / 145 Sales filter 105
                  • Disclosures: Reg S-K Apply Disclosures: Reg S-K filter 104
                  • Payments Apply Payments filter 101
                  • Issuer Distributions to Owners and Repurchases Apply Issuer Distributions to Owners and Repurchases filter 99
                  • Regulatory Organization Apply Regulatory Organization filter 99
                  • Contract Terms Apply Contract Terms filter 93
                  • Reserve Requirements Apply Reserve Requirements filter 89
                  • Counterparty Types Apply Counterparty Types filter 82
                  • Disclosures - Periodic / Special Apply Disclosures - Periodic / Special filter 76
                  • Early Warning Apply Early Warning filter 76
                  • Code of Ethics Apply Code of Ethics filter 73
                  • Employee Trading Apply Employee Trading filter 73
                  • Disclosures - Overview, Guidance, Policy Apply Disclosures - Overview, Guidance, Policy filter 62
                  • Non-US Offerings (Reg S) Apply Non-US Offerings (Reg S) filter 62
                  • Outsourcing Apply Outsourcing filter 59
                  • Gifts and Entertainment Apply Gifts and Entertainment filter 57
                  • Hedging Apply Hedging filter 57
                  • Trade Types Apply Trade Types filter 57
                  • Crowdfunding Apply Crowdfunding filter 55
                  • Legal Enforceability Apply Legal Enforceability filter 51
                  • Reporting Misconduct Apply Reporting Misconduct filter 51
                  • Risk Assessment Apply Risk Assessment filter 46
                  • Offering Documents Apply Offering Documents filter 38
                  • Complaints Apply Complaints filter 33
                  • Disclosures - Prospectus issues Apply Disclosures - Prospectus issues filter 31
                  • Roll-Ups Apply Roll-Ups filter 29
                  • Outside Activities Apply Outside Activities filter 25
                  • Exempt Sales: Misc. Apply Exempt Sales: Misc. filter 20
                  • Disclosures - Misc. Issues Apply Disclosures - Misc. Issues filter 19
                  • Financial Misconduct Apply Financial Misconduct filter 18
                  • Trade Allocations Apply Trade Allocations filter 18
                  • Information Walls Apply Information Walls filter 17
                  • Exempt Sales: SA Reg A Apply Exempt Sales: SA Reg A filter 16
                  • Disclosures - Foreign Entities Apply Disclosures - Foreign Entities filter 15
                  • Data Protection Apply Data Protection filter 12
                  • Regulatory Structure Apply Regulatory Structure filter 11
                  • Introducing / Clearing Apply Introducing / Clearing filter 10
                  • Operational Misconduct Apply Operational Misconduct filter 10
                  • Disclosures - Misstatements & Omits Apply Disclosures - Misstatements & Omits filter 6
                  • Hedging Apply Hedging filter 6
                  • Fairness Opinions Apply Fairness Opinions filter 4
                  • Acknowledgment Account Handling Apply Acknowledgment Account Handling filter 3
                  • Position limits Apply Position limits filter 3
                  • Trading During Offerings Apply Trading During Offerings filter 2
                  • Organizational Structure Apply Organizational Structure filter 1
                  regulated entities:
                  • Broker-Dealers Apply Broker-Dealers filter 41658
                  • Banking Entities Apply Banking Entities filter 14905
                  • Banking Organizations Apply Banking Organizations filter 8686
                  • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 6527
                  • Investment Funds Apply Investment Funds filter 5835
                  • Regulatory Agencies Apply Regulatory Agencies filter 5357
                  • Public Funds Apply Public Funds filter 5046
                  • Issuers Apply Issuers filter 3466
                  • SEC-Registered Issuers Apply SEC-Registered Issuers filter 2895
                  • FCMs and IBs Apply FCMs and IBs filter 2602
                  • Markets Apply Markets filter 2302
                  • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 2300
                  • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 1536
                  • Exchanges / Contract Mkts Apply Exchanges / Contract Mkts filter 1359
                  • Foreign Entities Apply Foreign Entities filter 1025
                  • Clearing Orgs. Apply Clearing Orgs. filter 986
                  • Private Funds Apply Private Funds filter 883
                  • SEFs / SBSEFs Apply SEFs / SBSEFs filter 786
                  • Securities SROs Apply Securities SROs filter 713
                  • RFDs / FDMs Apply RFDs / FDMs filter 537
                  • Muni Advisors Apply Muni Advisors filter 507
                  • ATSs / ECNs Apply ATSs / ECNs filter 454
                  • Futures Association Apply Futures Association filter 351
                  • Plans Apply Plans filter 326
                  • Accountants / Attorneys Apply Accountants / Attorneys filter 238
                  • Whistleblowers Apply Whistleblowers filter 237
                  • Rating Agencies Apply Rating Agencies filter 206
                  • SDRs Apply SDRs filter 189
                  • Transfer Agents Apply Transfer Agents filter 181
                  • LTMs Apply LTMs filter 151
                  • Commercial Parties Apply Commercial Parties filter 134
                  • State or Municipal Gov. Apply State or Municipal Gov. filter 123
                  • Money Service Business / Transmitter Apply Money Service Business / Transmitter filter 121
                  • Sponsor Apply Sponsor filter 120
                  • FB / FTs Apply FB / FTs filter 110
                  • Fiduciary Apply Fiduciary filter 107
                  • Foreign Governments Apply Foreign Governments filter 96
                  • Casinos Apply Casinos filter 75
                  • Foreign Private Issuers Apply Foreign Private Issuers filter 69
                  • Administrator Apply Administrator filter 61
                  • Insurance Companies Apply Insurance Companies filter 60
                  • Creditors / Lenders Apply Creditors / Lenders filter 56
                  • Party in Interest Apply Party in Interest filter 44
                  • Emerging Growth Companies Apply Emerging Growth Companies filter 43
                  • Borrowers / Debtors Apply Borrowers / Debtors filter 39
                  • Funding Portals Apply Funding Portals filter 26
                  • Investor Status Apply Investor Status filter 18
                  • Utilities Apply Utilities filter 8
                  regulated products:
                  • Swaps / SBS Apply Swaps / SBS filter 3961
                  • Options Apply Options filter 3674
                  • Municipal Securities Apply Municipal Securities filter 2132
                  • Governments (US) Apply Governments (US) filter 1819
                  • Real Estate / Mortgages Apply Real Estate / Mortgages filter 1365
                  • Debt Apply Debt filter 1157
                  • Futures Apply Futures filter 961
                  • Securities Apply Securities filter 896
                  • Equities Apply Equities filter 764
                  • ABS Apply ABS filter 757
                  • FX Apply FX filter 732
                  • Bank Deposits (CDs) Apply Bank Deposits (CDs) filter 687
                  • Funds Apply Funds filter 560
                  • Public Funds (as Product) Apply Public Funds (as Product) filter 479
                  • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 401
                  • Security Futures / Prod. Apply Security Futures / Prod. filter 382
                  • Energy Products Apply Energy Products filter 303
                  • Ags Apply Ags filter 295
                  • Indices Apply Indices filter 279
                  • Insurance Related Securities (Annuities) Apply Insurance Related Securities (Annuities) filter 279
                  • Foreign Products Apply Foreign Products filter 277
                  • Checks Apply Checks filter 181
                  • Marijuana Apply Marijuana filter 152
                  • Structured Products (Converts) Apply Structured Products (Converts) filter 140
                  • Insurance (as product) Apply Insurance (as product) filter 94
                  • Penny Stocks / Small Caps Apply Penny Stocks / Small Caps filter 82
                  • Credit Cards Apply Credit Cards filter 74
                  • Plan Assets Apply Plan Assets filter 71
                  • Private Fund (as Product) Apply Private Fund (as Product) filter 58
                  • Forwards Apply Forwards filter 41
                  • Direct Participations Apply Direct Participations filter 38
                  • Metals Apply Metals filter 34
                  • Minerals / Mining Apply Minerals / Mining filter 33
                  • Depository Receipts (ADRs / GDRs) Apply Depository Receipts (ADRs / GDRs) filter 31
                  • Hybrids Apply Hybrids filter 30
                  • Employer Securities / Property Apply Employer Securities / Property filter 28
                  • Commodity Apply Commodity filter 14
                  • Letters of Credit Apply Letters of Credit filter 10
                  affected jurisdiction:
                  • Iran Apply Iran filter 309
                  • Cuba Apply Cuba filter 218
                  • Colombia Apply Colombia filter 192
                  • Syria Apply Syria filter 186
                  • Russia Apply Russia filter 154
                  • Mexico Apply Mexico filter 147
                  • Canada Apply Canada filter 131
                  • Germany Apply Germany filter 131
                  • China Apply China filter 129
                  • North Korea Apply North Korea filter 127
                  • Japan Apply Japan filter 124
                  • France Apply France filter 118
                  • Iraq Apply Iraq filter 107
                  • Spain Apply Spain filter 98
                  • Ukraine Apply Ukraine filter 95
                  • Australia Apply Australia filter 89
                  • Panama Apply Panama filter 83
                  • Sudan Apply Sudan filter 83
                  • Switzerland Apply Switzerland filter 83
                  • India Apply India filter 80
                  • Venezuela Apply Venezuela filter 78
                  • Italy Apply Italy filter 74
                  • Burma (Myanmar) Apply Burma (Myanmar) filter 72
                  • Lebanon Apply Lebanon filter 67
                  • Turkey Apply Turkey filter 65
                  • Yemen Apply Yemen filter 64
                  • Pakistan Apply Pakistan filter 63
                  • Ecuador Apply Ecuador filter 62
                  • United Kingdom Apply United Kingdom filter 61
                  • Hong Kong Apply Hong Kong filter 60
                  • European Union Apply European Union filter 58
                  • Libya Apply Libya filter 58
                  • Afghanistan Apply Afghanistan filter 56
                  • Indonesia Apply Indonesia filter 54
                  • Netherlands Apply Netherlands filter 49
                  • Argentina Apply Argentina filter 47
                  • Nigeria Apply Nigeria filter 47
                  • Zimbabwe Apply Zimbabwe filter 45
                  • Brazil Apply Brazil filter 44
                  • Palestinian Territories Apply Palestinian Territories filter 44
                  • Egypt Apply Egypt filter 43
                  • Kenya Apply Kenya filter 43
                  • Angola Apply Angola filter 41
                  • New Zealand Apply New Zealand filter 41
                  • Belgium Apply Belgium filter 40
                  • Cyprus Apply Cyprus filter 39
                  • Ethiopia Apply Ethiopia filter 39
                  • Greece Apply Greece filter 39
                  • Singapore Apply Singapore filter 39
                  • United Arab Emirates Apply United Arab Emirates filter 37
                  • Ireland Apply Ireland filter 35
                  • Saudi Arabia Apply Saudi Arabia filter 35
                  • Algeria Apply Algeria filter 34
                  • Sweden Apply Sweden filter 34
                  • Thailand Apply Thailand filter 34
                  • Bosnia and Herzegovina Apply Bosnia and Herzegovina filter 32
                  • Austria Apply Austria filter 30
                  • Morocco Apply Morocco filter 30
                  • Georgia Apply Georgia filter 29
                  • Kuwait Apply Kuwait filter 29
                  • Norway Apply Norway filter 29
                  • Qatar Apply Qatar filter 29
                  • Sri Lanka Apply Sri Lanka filter 29
                  • Uganda Apply Uganda filter 29
                  • Nicaragua Apply Nicaragua filter 28
                  • Israel Apply Israel filter 27
                  • Tanzania Apply Tanzania filter 27
                  • Uzbekistan Apply Uzbekistan filter 27
                  • Vietnam Apply Vietnam filter 27
                  • Belarus Apply Belarus filter 26
                  • Liberia Apply Liberia filter 26
                  • Philippines Apply Philippines filter 26
                  • Guinea Apply Guinea filter 25
                  • Honduras Apply Honduras filter 25
                  • Luxembourg Apply Luxembourg filter 25
                  • Peru Apply Peru filter 25
                  • South Africa Apply South Africa filter 25
                  • Armenia Apply Armenia filter 24
                  • Azerbaijan Apply Azerbaijan filter 24
                  • Bangladesh Apply Bangladesh filter 24
                  • Costa Rica Apply Costa Rica filter 24
                  • Trinidad and Tobago Apply Trinidad and Tobago filter 24
                  • Malaysia Apply Malaysia filter 23
                  • Paraguay Apply Paraguay filter 23
                  • Poland Apply Poland filter 23
                  • Somalia Apply Somalia filter 23
                  • South Korea Apply South Korea filter 23
                  • Tajikistan Apply Tajikistan filter 23
                  • Tunisia Apply Tunisia filter 23
                  • Turkmenistan Apply Turkmenistan filter 23
                  • Bahamas Apply Bahamas filter 22
                  • Cambodia Apply Cambodia filter 22
                  • Antigua and Barbuda Apply Antigua and Barbuda filter 21
                  • Bolivia Apply Bolivia filter 21
                  • Chile Apply Chile filter 21
                  • Denmark Apply Denmark filter 21
                  • Guatemala Apply Guatemala filter 21
                  • Jordan Apply Jordan filter 21
                  • Samoa Apply Samoa filter 21
                  • Bulgaria Apply Bulgaria filter 20
                  • Czechia Apply Czechia filter 20
                  • Ghana Apply Ghana filter 20
                  • Latvia Apply Latvia filter 20
                  • Namibia Apply Namibia filter 20
                  • Romania Apply Romania filter 20
                  • Nepal Apply Nepal filter 19
                  • Portugal Apply Portugal filter 19
                  • Albania Apply Albania filter 18
                  • Bahrain Apply Bahrain filter 18
                  • Hungary Apply Hungary filter 18
                  • Laos Apply Laos filter 18
                  • Serbia Apply Serbia filter 18
                  • US - Federal Apply US - Federal filter 18
                  • Dominican Republic Apply Dominican Republic filter 17
                  • Jamaica Apply Jamaica filter 17
                  • Mongolia Apply Mongolia filter 17
                  • Barbados Apply Barbados filter 16
                  • Guyana Apply Guyana filter 16
                  • Haiti Apply Haiti filter 16
                  • Kyrgyzstan Apply Kyrgyzstan filter 16
                  • Malta Apply Malta filter 16
                  • Croatia Apply Croatia filter 15
                  • Kazakhstan Apply Kazakhstan filter 14
                  • Liechtenstein Apply Liechtenstein filter 14
                  • Macau Apply Macau filter 14
                  • Uruguay Apply Uruguay filter 14
                  • Vanuatu Apply Vanuatu filter 14
                  • Kosovo Apply Kosovo filter 13
                  • Macedonia Apply Macedonia filter 13
                  • Montenegro Apply Montenegro filter 13
                  • Aruba Apply Aruba filter 12
                  • Finland Apply Finland filter 12
                  • Moldova Apply Moldova filter 12
                  • Papua New Guinea Apply Papua New Guinea filter 12
                  • Belize Apply Belize filter 11
                  • Chad Apply Chad filter 11
                  • Equatorial Guinea Apply Equatorial Guinea filter 11
                  • Nauru Apply Nauru filter 11
                  • Sierra Leone Apply Sierra Leone filter 11
                  • Taiwan Apply Taiwan filter 11
                  • Central African Republic Apply Central African Republic filter 10
                  • Estonia Apply Estonia filter 10
                  • Lithuania Apply Lithuania filter 10
                  • Marshall Islands Apply Marshall Islands filter 10
                  • Benin Apply Benin filter 9
                  • Botswana Apply Botswana filter 9
                  • Brunei Apply Brunei filter 9
                  • El Salvador Apply El Salvador filter 9
                  • Gambia Apply Gambia filter 9
                  • Rwanda Apply Rwanda filter 9
                  • Slovakia Apply Slovakia filter 9
                  • Slovenia Apply Slovenia filter 9
                  • Iceland Apply Iceland filter 8
                  • Oman Apply Oman filter 8
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                  • FHFA Effective Date:Federal Home Loan Bank Capital Requirements

                    The Federal Housing Finance Agency is issuing this final rule to adopt as its own portions of the regulations of the Federal Housing Finance Board (Finance Board) pertaining to the capital requirements for the Federal Home Loan Banks. The final rule carries over most of the existing Finance Board ...
                    Event Date: 
                    Jan 1 2020  (All day)
                    Event Date Type: 
                    Effective Date
                    Organization: 
                    FHFA
                    Regulated Entities: 
                    Banking Entities
                  • SEC Effective Date: Transaction Fee Pilot for NMS Stocks

                    The SEC adopted a new rule that would establish a pilot program (the "Pilot") to study the effects that transaction-based fees and rebates in certain National Market System ("NMS") stocks may have on order-routing behavior, execution quality and market quality generally. The ...
                    Event Date: 
                    Apr 22 2019  (All day)
                    Event Date Type: 
                    Effective Date
                    Organization: 
                    SEC
                    Regulated Activities: 
                    Trade Execution / Quoting
                    Regulated Entities: 
                    Broker-Dealers, Regulatory Agencies
                    Related Searches: 
                    Regulation NMS
                  • OFR Effective Date: Ongoing Data Collection of Centrally Cleared Transactions in the U.S. Repurchase Agreement Market

                    The U.S. Treasury Department Office of Financial Research adopted final rules establishing a data collection requiring the reporting of certain information about centrally cleared transactions in the U.S. repurchase agreement market to the OFR. SEC ...
                    Event Date: 
                    Apr 22 2019  (All day)
                    Event Date Type: 
                    Effective Date
                    Organization: 
                    SEC
                    Regulated Activities: 
                    Sec Loan / Repo / TBA, Trade Reporting
                    Regulated Entities: 
                    Clearing Orgs.
                  • CFTC Grants Registration Relief to CPO/CTA of Affiliate Engaged in Hedging

                    February 21, 2019
                    The CFTC Division of Swap Dealer and Intermediary Oversight (the "Division") granted no-action relief from registration as a CPO or CTA to the investment manager of a fund. The relief was granted with respect to the investment manager's management of an affiliate that uses commodity ...
                    Activities: 
                    Registration Requirement, Regulatory Exemptions
                    Regulated Entities: 
                    Adviser / CTA / CPO, Traders / Investors / Counterparties
                    Products: 
                    Swaps / SBS
                  • SEC Expiration Date: Transaction Fee Pilot for NMS Stocks

                    The SEC adopted a new rule that would establish a pilot program (the "Pilot") to study the effects that transaction-based fees and rebates in certain National Market System ("NMS") stocks may have on order-routing behavior, execution quality and market quality generally. The ...
                    Event Date: 
                    Dec 29 2023  (All day)
                    Event Date Type: 
                    Expiration Date
                    Organization: 
                    SEC
                    Regulated Activities: 
                    Trade Execution / Quoting
                    Regulated Entities: 
                    Broker-Dealers, Regulatory Agencies
                    Related Searches: 
                    Regulation NMS
                  • OCC, FRB, FDIC, FCA, and NCUA Effective Date: Loans in Areas Having Special Flood Hazards

                    The Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance Corporation (FDIC), the Farm Credit Administration (FCA), and the National Credit Union Administration (NCUA) are amending their regulations regarding ...
                    Event Date: 
                    Jul 1 2019  (All day)
                    Event Date Type: 
                    Effective Date
                    Organization: 
                    Comptroller, Farm Credit Administration, FDIC, Fed. Res. Board / Banks, NCUA
                    Regulated Activities: 
                    Lending
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    Credit Unions, Flood Concerns
                  • Company Settles OFAC Charges for Violating U.S. Sanctions against Iran

                    February 21, 2019
                    A U.S.-based building materials company agreed to settle with the U.S. Treasury Department ("Treasury") Office of Foreign Assets Control ("OFAC") charges stemming from five alleged transactions that violated the Iranian Transactions and Sanctions Regulations. According to OFAC, ...
                    Activities: 
                    Enforcement Action
                    Regulated Entities: 
                    Foreign Entities
                  • Former Employee of Biotech Firm Settles SEC Charges for Insider Trading

                    February 21, 2019
                    A former employee of a biotechnology firm agreed to settle SEC charges for insider trading on the confidential information of his former employer. In a Complaint filed in the U.S. District Court for the Southern District of New York, the SEC alleged that Joseph Frank Vacante engaged in illegal ...
                    Activities: 
                    Enforcement Action, Misconduct, Insider Trading
                    Regulated Entities: 
                    Traders / Investors / Counterparties
                  • FDIC Proposes to Apply CBLR Framework to Deposit Insurance Assessment System

                    February 21, 2019
                    The FDIC requested comment on the application of an interagency proposal to implement the community bank leverage ratio ("CBLR") framework. The FDIC plans to amend its deposit insurance assessment regulations to apply the CBLR framework to the deposit insurance assessment system. Through ...
                    Activities: 
                    Capital
                    Regulated Entities: 
                    Banking Entities
                    Related Searches: 
                    Community Banks
                  • MFA Cautions against Requirement for Asset Managers to Include ESG Factors

                    February 21, 2019
                    The Managed Funds Association ("MFA") cautioned against measures that would require asset managers to incorporate "overly prescriptive" environmental, social and governance ("ESG") factors into investments. In a comment letter, the MFA addressed the European Securities ...
                    Activities: 
                    Advice and Fiduciary, Disclosures to Public Investors
                    Regulated Entities: 
                    Adviser / CTA / CPO, Investment Funds
                    Related Searches: 
                    ESG
                  • Federal Register: SEC Extends Comment Period on Variable Annuity and Life Insurance Contracts

                    February 21, 2019
                    The SEC extension of the comment period for its proposal to improve disclosures for purchases of variable annuities and variable life contracts was published in the Federal Register. Comments must be submitted by March 15, 2019 (see previous coverage of the proposal). SEC ...
                    Activities: 
                    Disclosures to Public Investors
                    Regulated Entities: 
                    Public Funds
                    Products: 
                    Insurance Related Securities (Annuities)
                  • SEC Comment Deadline: Risk Mitigation Techniques for Uncleared Security-Based Swaps

                    The SEC proposed establishing "risk mitigation" requirements applicable to security-based swap dealers ("SBSDs"), including portfolio reconciliation and compression, and swap trading relationship documentation. SEC Swap Compression Swap Reconciliation ...
                    Event Date: 
                    Apr 16 2019  (All day)
                    Event Date Type: 
                    Comment Deadline
                    Organization: 
                    SEC
                    Regulated Activities: 
                    Risk Management
                    Regulated Entities: 
                    Swap Dealers / SBSDs, Traders / Investors / Counterparties
                    Regulated Products: 
                    Swaps / SBS
                    Related Searches: 
                    Swap Compression, Swap Reconciliation
                  • SEC Initial Decision Release 1356 - Icon Vapor Inc. et al. (Feb. 21, 2019)

                    February 21, 2019
                    Initial Decision Release No. 1356 Administrative Proceeding File No. 3-18210 UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 In the Matter of Icon Vapor, Inc., POWRtec International Corp., Silvergraph International, Inc., and Walter Energy, Inc. (n/k/a ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                    Related Searches: 
                    Enforcement Ct. Decision
                  • SEC Initial Decision Release 1355 - Oriental Dragon Corp. (Feb. 21, 2019)

                    February 21, 2019
                    Initial Decision Release No. 1355 Administrative Proceeding File No. 3-18450 UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 In the Matter of Oriental Dragon Corp. Initial Decision of Default February 21, 2019 Appearances: James M. Carlson and Cecilia B ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                    Related Searches: 
                    Enforcement Ct. Decision
                  • SEC Order AP-6468 - Laurie Bebo and John Buono CPA (Feb. 21, 2019)

                    February 21, 2019
                    UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 6468/February 21, 2019 ADMINISTRATIVE PROCEEDING File No. 3-16293 In the Matter of:: LAURIE BEBO and: ORDER JOHN BUONO, CPA: The Securities and Exchange ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                  • SEC Litigation Release LR-24407 - Mathias Francisco Sandoval Herrera and Maria D. Cidre (Feb. 21, 2019)

                    February 21, 2019
                    SEC Obtains Final Judgments Against Former CEO and Former CFO of General Cable Corp. Operating Segment Litigation Release No. 24407 / February 21, 2019 Securities and Exchange Commission v. Mathias Francisco Sandoval Herrera and Maria D. Cidre, Civil Action No. 1:17-cv-20301-JAL (S.D. Fla., filed ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                    Related Searches: 
                    Litigation Release
                  • SEC Litigation Release LR-24406 - Joseph Frank Vacante (Feb. 21, 2019)

                    February 21, 2019
                    SEC Settles with Biotech Insider Trader Litigation Release No. 24406 / February 21, 2019 Securities and Exchange Commission v. Joseph Frank Vacante, No. 19-civ-1616 (S.D.N.Y. filed Feb. 21, 2019) The Securities and Exchange Commission today charged a former employee of a biotech company with ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                    Related Searches: 
                    Litigation Release
                  • SEC Litigation Release LR-24405 - Spartan Securities Group Ltd. Island Capital Management LLC Carl E. Dilley Micah J. Eldred and David D. Lopez (Feb. 21, 2019)

                    February 21, 2019
                    SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud Litigation Release No. 24405 / February 21, 2019 Securities and Exchange Commission v. Spartan Securities Group, Ltd., Island Capital Management LLC, Carl E. Dilley, Micah J. Eldred and David D. Lopez, No. 19-civ-00448 (M ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                    Related Searches: 
                    Litigation Release
                  • SEC Opinion 34-85171 - David Pruitt CPA (Order Denying Motion to Amend the Order Instituting Proceedings) (Feb. 21, 2019)

                    February 21, 2019
                    UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 85171 / February 21, 2019 ACCOUNTING AND AUDITING ENFORCEMENT Release No. 4023 / February 21, 2019 Admin. Proc. File No. 3-17950 In the Matter of DAVID PRUITT, CPA ORDER DENYING MOTION ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                  • SEC Opinion 33-10609 - John Thomas Capital Management Group LLC d/b/a Patriot 28 LLC; and George R. Jarkesy Jr. (Order Regarding Further Proceedings) (Feb. 21, 2019)

                    February 21, 2019
                    UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 10609 / February 21, 2019 SECURITIES EXCHANGE ACT OF 1934 Release No. 85172 / February 21, 2019 INVESTMENT Advisers Act OF 1940 Release No. 5116 / February 21, 2019 INVESTMENT COMPANY ACT OF ...
                    Organization: 
                    SEC
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                  • CFTC Enforcement Release - Federal Court Imposes $15.7 Million Civil Penalty and Lifetime Trading Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud Action - 02/21/2019

                    February 21, 2019
                    RELEASE Number 7875-19 Federal Court Imposes $15.7 Million Civil Penalty and Lifetime Trading Ban against Precious Metals Dealer and his Company in CFTC Anti-Fraud ActionIn 2015, the CFTC Charged California Resident Hannes Tulving, Jr. and His Firm with Misappropriation and Fraudulent Solicitation ...
                    Organization: 
                    CFTC
                    Document Type: 
                    Enforcement Release
                  • FINRA Enforcement Release - 2018058884001 - John William Spach - 02/21/2019

                    February 21, 2019
                    FINANCIAL INDUSTRY REGULATORY AUTHORITYLETTER OF ACCEPTANCE, WAIVER AND CONSENTNO. 2018058884001TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA")RE: John William Spach, Respondent Former Registered Representative CRD No. 2731192Pursuant to FINRA Rule 9216 of ...
                    Organization: 
                    FINRA
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                  • FINRA Enforcement Release - 2017053675002 - Bradley Curtis Williams - 02/21/2019

                    February 21, 2019
                    FINANCIAL INDUSTRY REGULATORY AUTHORITYLETTER OF ACCEPTANCE, WAIVER AND CONSENTNO. 2017053675002TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA")RE: Bradley Curtis William, Respondent Former General Securities Representative CRD No. 5622102Pursuant to FINRA ...
                    Organization: 
                    FINRA
                    Document Type: 
                    Enforcement Release
                    Activities: 
                    Enforcement Action
                  • SEC Effective Date: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps

                    An SEC proposal to establish a process for registered security-based swap ("SBS") dealers and major SBS participants applying for relief from the prohibition in Exchange Act Section 15F(b)(6) on individuals subject to certain statutory disqualification is effective April 22, 2019. SEC ...
                    Event Date: 
                    Apr 22 2019  (All day)
                    Event Date Type: 
                    Effective Date
                    Organization: 
                    SEC
                    Regulated Activities: 
                    Bad Boys
                    Regulated Entities: 
                    Swap Dealers / SBSDs
                    Regulated Products: 
                    Swaps / SBS
                  • CFPB Comment Deadline: Payday, Vehicle Title, and Certain High-Cost Installment Loans; Delay of Compliance Date

                    The Consumer Financial Protection Bureau ("CFPB") proposed delaying the August 19, 2019 compliance date for the mandatory underwriting provisions of the regulation promulgated by the CFPB in November 2017 governing Payday, Vehicle Title, and Certain High-Cost Installment Loans (2017 Final ...
                    Event Date: 
                    Mar 18 2019  (All day)
                    Event Date Type: 
                    Comment Deadline
                    Organization: 
                    CFPB
                    Regulated Activities: 
                    Community Lending, Suitability and Consumer Protection
                    Regulated Entities: 
                    Banking Entities, Banking Organizations
                    Regulated Products: 
                    Debt
                    Related Searches: 
                    Payday lending
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