Skip to main content
Regulatory Intelligence
Main navigation (Static)
Documents / Regulators
Documents / Regulators
Statutes, Rules and Public Laws
AML, FCPA, Sanctions
AML, FCPA, Sanctions
Bank Secrecy Act and FinCEN Materials
CFIUS Materials
Foreign Corrupt Practice Act and Materials
OFAC Rules and Sanctions Materials
Administrative Law
Administrative Law
Administrative Procedure Act
Regulatory Flexibility Act
Judicial Review
Congressional Review Act
Unfunded Mandates Reform Act
Banking Materials
Banking Materials
All Banking Materials
CFPB Materials
FDIC Materials
Federal Reserve Board Materials
FHFA Materials
NCUA Materials
NYDFS Materials
OCC Materials
Federal Banking Rules
Federal Banking Statutes
Federal Deposit Insurance Corporation (FDIC)
Federal Housing Finance Agency (FHFA)
Federal Reserve Board and Federal Reserve Bank
Financial Stability Oversight Council (FSOC)
National Credit Union Administration (NCUA)
New York State and Department of Financial Services (NYDFS)
Office of the Comptroller of the Currency (OCC or Comptroller)
Bankruptcy / UCC
Bankruptcy / UCC
Bankruptcy Code
CFTC Rules Part 190
Federal Deposit Insurance Corporate Improvement Act
NY Uniform Commercial Code
Orderly Liquidation Authority
Protected Financial Contract Provisions
Securities Investor Protection Act
SIPC Rules
Commodities
Commodities
Commodity Exchange Act
CFTC
CFTC Rules
NFA
NFA Rules
Contract Markets
ERISA
ERISA
ERISA Materials
Employee Retirement Income Security Act
ERISA Rules
FTC / HSR / SBA
FTC / HSR / SBA
Federal Trade Commission Act
FTC Rules
Statutes and Rules Enforced by the FTC (EXTERNAL)
Hart-Scott-Rodino Act
HSR Rules
Government Research Agencies
Government Research Agencies
FSOC
Governmental Accountability Office
OFR
President's Working Group
Congressional Research Service
Intellectual Property
Intellectual Property
IP Materials
Copyrights (17 U.S.C. 101-1401)
Trademarks (15 U.S.C. 22)
Securities
Securities
SEC Materials
FINRA Materials
MSRB Materials
National Securities Exchange Materials
SIPC/SIPA Materials
NASAA Materials
SEC Rules by CFR Part
SEC Rules by CFR Part
200.1 to 200.800
201.31 to 201.1106
202.1 to 202.190
203.1 to 203.8
204.1 to 204.77
205.1 to 205.7
209.0-1 to 209.1
210.1-01 to 210.12-29
Interpretations Relating to Financial Reporting Matters
227.100 to 227.503
229.10 to 229.1208 (Reg S-K)
229.1000 to 229.1016 (Reg M-A)
229.1100 to 229.1123 (Reg A-B)
230.100 to 230.1001
Interpretative Releases Relating to the Securities Act
232.10 to 232.600-232.903a (Reg S-T)
239.0-1 to 239.900 (Forms)
240.0-1 to 240.36a1-2
Interpretative Releases
242.100 to 242.105 (Reg M)
242.200 to 242.204 (Reg SHO)
242.300 to 242.303 (Reg ATS)
242.400 to 242.406 (Margin)
242.500 to 242.505 (Reg AC)
242.600 to 242.613 (Reg NMS)
242.800 to 242.823 (Reg SB-SEF)
242.900 to 242.909 (Reg SBSR)
242.1000 to 1007 (Reg SCI)
243.100 to 243.103 (Reg FD)
244.100 to 244.102 (Reg G)
245.100 to 245.104 (Blackout)
246.1 to 246.22 (Credit Risk Retention)
247.100 to 247.781 (Reg R)
248.1 to 248.100 (Reg S-P)
248.101 to 248.128 (Reg S-AM)
248.201 to 248.202 (Reg S-ID)
249.0-1 to 249.2000 (Forms)
249b.1-249b.99 to 249b.400 (Further Forms)
250.1 (Cross-Border Anti-Fraud)
255.1 to 255.21 (Proprietary Trading)
260.0-1 to 260.19a-1
Interpretative Releases
269.0-1 to 269.10 (TIA Forms)
270.0-1 to 270.60a-1 (ICA Rules)
ICA Interpretative Releases
274.0-1 to 274.404 (ICA Forms)
275.0-2 to 275.222-2 (IAA Rules)
IAA Interpretative Releases
279.0-1 to 279.9 (IAA Forms)
Interpretative (Chapter X Bankruptcy Act)
285.1 to 285.4
286.1 to 286.4
287.1 to 287.101
288.1 to 288.101
289.1 to 289.101
290.1 to 290.101
300.100 to 300.600 (SIPC Rules)
301.0-1 to 301.300c (SIPC Forms)
303.1 to 303.12
SEC Rules Alphabetical
SEC Rules Alphabetical
Credit Risk Retention (Part 246)
Cross-Border Antifraud (Part 250)
Customer Margin Requirements (242.400 to 242.406)
Incentive-Based Compensation (PROPOSED) (Part 303)
Informal and Other Procedures (Part 202)
CFR Interps (Parts 211, 231, 241, 261, 271, 276 and 281)
IAA Forms (Part 279)
IAA Rules (Part 275)
ICA Forms (Part 274)
ICA Rules (Part 270)
Org / Ethics / Info (Part 200)
Regulation AB
Regulation AC
Regulation ATS
Regulation Blackout Trading Restriction
Regulation Crowdfunding
Regulation FD
Regulation G
Regulation M
Regulation M-A
Regulation NMS
Regulation R
Regulation S-AM
Regulation SB SEF (PROPOSED)
Regulation SBSR
Regulation SCI
Regulation SHO
Regulation S-ID
Regulation S-K
Regulation S-P
Regulation S-T
Regulation S-X
Regulations (Parts 285 to 290)
Rules of Practice (Parts 201 and 209)
Rules / Debt Collection (Part 204)
Rules / Investigations (Part 203)
Securities Act Forms (Part 239)
Securities Act Rules (Part 230)
SEA Forms (Parts 249 and 249b)
SEA Rules (Part 240)
SIPC Forms (Part 301)
SIPC Rules (Part 300)
Standards of Professional Conduct (205)
TIA Forms (Part 269)
TIA Rules (Part 260)
Volcker Rule (Part 255)
State Regulators
State Regulators
CSBS
NASAA
New York / NYDFS
Trade Associations and Regulators Associations
Advisers and Funds
Advisers and Funds
Overview, Documents
Overview, Documents
Investment Company Act Materials
Investment Advisers Materials
Investment Advisers: Rule by Rule
Investment Advisers Exemptions
IA Compliance
IA Compliance
Cross and Principal Transactions
Custody Requirements
Fingerprinting of Employees
Form PF Reporting Requirement for Private Funds
Information Walls and Codes of Ethics
Recordkeeping and Reporting
SEA 13(f) Position Reporting
Soft Dollars
Wrap Fee Programs and Accounts
Waivers
IA Marketing, Sales, Customers
IA Marketing, Sales, Customers
Brochure Rule
Contract Terms: Performance Fees, Assignments, Hedge Clauses
Form CRS Client Relationship Summary
Hypothetical Performance
Marketing
Political Contributions (Pay to Play)
Solicitors
Standard of Conduct and Fiduciary Obligation
IA Registration and Exemptions
IA Registration and Exemptions
Adviser Registration Process
Definition of Investment Adviser
Disclosure and Registration on Form ADV
Exempt Reporting Advisers
Family Offices
Federal and State Jurisdiction
Non-U.S. Advisers ("Foreign Private Advisers" and "Participating Affiliates")
Private Fund Advisers
Registration Requirement
Single Registration of Multiple Advisers
ICA Registration Exemptions
ICA Registration Exemptions
ICA Registration Exemptions: Section by Section and Rule by Rule
ICA Section 3(a)(1) (Asset Test)
ICA Sections 3(c)(1) and (7) (Private Funds)
ICA Section 3(b) (Not an Investment Company)
ICA Section 3(c)(3) (Foreign Banks and Insurance Companies)
ICA Registration Exemptions under Section 3
ICA Registration Exemptions under Section 3
ICA Rule 3a-1 (Prima Facie Investment Companies)
ICA Rule 3a-2 (Transient Investment Companies)
ICA Rule 3a-3 (Investment Companies Owned by Non-RICs)
ICA Rule 3a-4 (Investment Advisory Programs)
ICA Rule 3a-5 (Finance Subsidiaries)
ICA Rule 3a-6 (Foreign Banks)
ICA Rule 3a-7 (ABS Issuers)
ICA Rule 3a-8 (RD Companies)
ICA Rule 3c-1 (Definition of "beneficial ownership" for purposes of Section 3(c)(1))
ICA Rule 3c-2 (Beneficial ownership in SBICs)
ICA Rule 3c-3 (Certain debt securities offered by SBICs)
ICA Rule 3c-5 (Beneficial ownership by knowledgeable employees)
ICA Rule 3c-6 (Transfers of interests in private funds)
ICA Section 3(c)(10) (Charitable Organizations)
ICA Section 6(b) (Employees' Securities Companies)
ICA Section 7(d) (Foreign Funds)
ICA Sections 3(c)(4), (5) and (6) (Funds, Including REITs)
ICA Custody Requirement
Venture Capital Advisers
AML / FCPA / Sanctions
AML / FCPA / Sanctions
AML
AML
Anti-Money Laundering
FinCEN Materials
Suspicious Activity Reports
Politically Exposed Persons
FCPA
Sanctions
Banking
Banking
Overview, Regulators, Documents
Overview, Regulators, Documents
Banking Materials
Consumer Financial Protection Bureau (CFPB) Materials
CFPB Rule by Rule
Federal Deposit Insurance Corporation (FDIC) Materials
Federal Housing Finance Agency (FHFA) Materials
Federal Reserve Board (FRB) Materials
FRB Rule by Rule
Financial Stability Oversight Council (FSOC) Materials
National Credit Union Administration (NCUA) Materials
New York State and Department of Financial Services (NYDFS) Materials
Office of the Comptroller of the Currency (OCC) Materials
Capital, Liquidity
Capital, Liquidity
Regulation D Reserve Requirements
Capital Review and Analysis
Bank Capital Requirements
FRB Capital Stock
Interbank Liabilities
Liquidity
Liquidity
Bank Liquidity
High Quality Liquid Assets
Liquidity Coverage Ratio
Stable Funding Ratio
Compliance, Ops, Conflicts
Compliance, Ops, Conflicts
Cybersecurity and Data Protection
Enforcement Procedures
FRA Sections 23A and B; Regulation W
Identity Theft
Interlocks Act
International Lending
Loans to Insiders
Outsourcing
Provision of Financial Records
Unlawful Internet Gambling
Volcker Rule
Consumer Protection, Anti-Discrimination
Consumer Protection, Anti-Discrimination
Affiliate Marketing
Community Reinvestment Act (CRA)
CRA Related Agreements
Consumer Leasing
Consumer Privacy
Equal Credit Opportunity Act (ECOA); Regulation B; Fair Lending
Fair Credit Reporting
Fair Debt Collection; Regulation F
Identity Theft
Medical Information
Payday Lending
Telemarketing
Truth in Lending Act (TILA); Regulation Z
Insolvency
Insolvency
Bank Insolvency
FRB Emergency Lending
FRB Regulation QQ: Resolution Plans
Protected Financial Contracts
Mortgages and Real Estate
Mortgages and Real Estate
Alternative Mortgage Transactions Parity Act (AMTPA); CFPB Regulation D
Home Mortgage Disclosure Act (HMDA); Regulation C
Land Registration
Mortgage Acts and Practices; Mortgage Advertising
Mortgage Assistance Relief
Real Estate Settlement Procedures Act (RESPA); Regulation X
S.A.F.E. Act; Mortgage Originators
Payments
Payments
Collection of Checks
Electronic Funds Transfer Act (EFTA); Regulation E
Financial Market Utilities
Money Service Businesses
Powers, Misc. Activities
Powers, Misc. Activities
Marketplace Lending
Securities and Swaps Activities
Securities and Swaps Activities
Broker-Dealer Networking Arrangements
Foreign Currency
Margin for Securities Loans (Regulation U and Regulation X)
Margin for Swaps and Security-Based Swaps
Regulation R; Bank Broker-Dealer Activities
Volcker Rule
Bankruptcy / UCC
Bankruptcy / UCC
Bankruptcy Code and Basics
Bank Insolvency
Broker-Dealer Insolvency
FCM Insolvency
Protected Financial Contracts
Orderly Liquidation
Security Interests and the Uniform Commercial Code (UCC)
Broker-Dealers
Broker-Dealers
Overview, Regulators, Documents
Overview, Regulators, Documents
SEC Materials on Broker-Dealers
SEA Broker-Dealer Rules: Rule by Rule
SEC Broker-Dealer Registration Guide
Lofchie's Guide to Broker-Dealer Regulation
FINRA Materials
FINRA Rule by Rule
MSRB and Muni Materials
MSRB Rule by Rule
NASAA Materials; Uniform Securities Acts; State Securities Law
Capital, Custody, Records, Reporting
Capital, Custody, Records, Reporting
Capital
Capital
BD Capital Requirements
Disclosure of Financial Condition
Subordination Agreements
Withdrawals and Business Curtailment
Custody
Custody
Custody
Customer Account Transfers
Handling of Proxies
Insolvency of BDs and SIPA
Liquidity Requirement
Recordkeeping
Reporting
Reporting
Customer Complaints; Self-Reporting
Financial Reporting
Government Securities: Large Position Reports
Large Trader Reports
Risk Assessment Rules
Compliance
Compliance
CCO and Supervisory Systems
CCO and Supervisory Systems
BD Supervisory Systems and Certification
Supervision
BD General Anti-Fraud (FINRA Rule 2020)
BD Fidelity Bonds
Customer Complaints; Self-Reporting
FINRA Fair Dealing Obligation
Holding Customer Mail
Taping Rule
Insider Trading and Information
Employee Monitoring
Employee Monitoring
Discretionary Accounts and Unauthorized Trading
Employee Accounts From/At Other Firms
Employees Borrowing from / Lending to Customers
Employees' Outside and Personal Activities
Operations
Operations
Business Continuity
Cybersecurity and Data Protection
Identity Theft
Regulation SCI
Outsourcing
MSRB Compliance
MSRB Compliance
Muni Advisor Conduct Regulation
Muni Fair Dealing
Muni Supervision
Oversight of Muni Firms
Employees
Employees
Employee Accounts From/At Other Firms
Employees Borrowing from / Lending to Customers
Employees' Outside and Personal Activities
Finders, Retirees and Unregistered Persons
Fingerprinting
Muni Associated Persons
Personal Account Trading
Qualifications and Continuing Education
Qualifications and Continuing Education
Continuing Education
Employee Qualifications
Enforcement
Enforcement
Arbitration
Bad Actor Disqualifications
Expungement of Information
Insider Trading
Securities Law Enforcement Procedures and Actions
Statutory Disqualification
Waivers
Whistleblowers
Offerings
Offerings
Research
SEA Rules
SEA Rules
Contingent Offerings
Disclosures of Conflicts
Prospectus Delivery
Regulation M (Trading in Connection with Offering)
Sales at the Market
FINRA Rules
FINRA Rules
Corporate Financing Rules
New Issue Allocations
Notification of Reg M Distribution
Private Placement Rules
Selling Syndicate Procedures
MSRB Rules
MSRB Rules
Distribution Procedures
Electronic Municipal Market Access (EMMA)
Financial Advisory
Offering Disclosures
Products / Credit / Services
Products / Credit / Services
Callable Securities
Investment Analysis Tools
Credit
Credit
Day-Trading
Margin for Broker-Dealers (Regulation T and FINRA Rule 4210)
Margin for Non-Broker-Dealers (Regulation U and Regulation X)
Protected Financial Contracts
Repo Agreements
Securities Lending
TBAs and the MSFTA
Options / Security Futures
Options / Security Futures
Securities Options
Index and Currency Warrants
Large Option Position Reporting (LOPR)
Marketing of Options
Option Disclosure Documents
Security Futures: BD and FCM Regulation
Security Futures: Market Regulation
Interests in Funds
Interests in Funds
Breakpoint Sales and Share Class Issues
Communications about CMOs
Direct Participations
Marketing of Funds
Reciprocal Dealings or Shelf Space
Variable Annuities
Munis
Munis
Click to see Focus Pages under "Munis"
US Govs
US Govs
Click to see Focus Pages under "U.S. Governments"
Security-Based Swaps
Security-Based Swaps
Click to see SBS Focus Pages under "Swaps"
Service Fees
Registration Requirement, Exemptions, Process
Registration Requirement, Exemptions, Process
Muni Advisor Registration Requirement
Non-U.S. Broker-Dealers / SEA Rule 15a-6
Registration Process
Registration Process
BD Registration Process
FINRA Membership Process
Muni Dealer and Muni Advisor Registration Process
Regulation R; Bank Broker-Dealer Activities
Separately Identifiable Department or Division of Bank
Sales, Disclosures
Sales, Disclosures
Affiliate Marketing
Consumer Privacy
Gifts and Entertainment
Marketing
Networking Arrangements
Political Contributions (Pay to Play)
Prohibition against Customer Guarantees and Sharing in Accounts
Research
Sales Contests and Non-Cash Compensation
Telemarketing
General Disclosures
General Disclosures
Account Statements
BD and Muni Advisor Investment Brochure
Confirmations
Disclosure of Financial Condition
Disclosures of Conflicts
SIPC Disclosure
Product Specific Disclosures
Product Specific Disclosures
Communications about CMOs
Marketing of Funds
Marketing of Options
Muni Advertising
Muni Time of Trade Disclosures
Muni Trade Confirmations
Option Disclosure Documents
Suitability and Customers
Suitability and Customers
Customer Information / Know Your Customer (KYC)
Suitability
Muni Suitability
Recommendations of OTC Equity Securities
Regulation Best Interest
Sophisticated Municipal Market Professionals ("SMMPs")
Seniors
Servicemembers
Trading, Trade Reporting
Trading, Trade Reporting
Muni Trade Settlement and Uniform Practices
Short Sales and Positions
Volcker Rule
Markets
Markets
FINRA Alternative Display Facility ("ADF")
Market Access Rule (SEA Rule 15c3-5)
National Securities Exchange Materials
Regulation SCI
Customer Trade Obligations
Customer Trade Obligations
Adjustment of Open Orders
Best Execution
Front Running and Trading Ahead
Trade Allocation
Trading Mark-Ups
Quoting
Quoting
Muni Security Quoting Obligations
Participant Identifiers
FINRA Quoting Rules
Quoting Obligations
Improper Conduct
Improper Conduct
Anti-Intimidation
Insider Trading
Manipulative Trading: Spoofing, Wash Sales, Marking the Close
Payments for Market Making
Trade Reporting
Trade Reporting
Blue Sheets
Clock Synchronization and Time Stamping
Consolidated Audit Trail (CAT)
Muni Trade Reporting
Order Audit Trail System (OATS)
Trade Reporting and Compliance Engine (TRACE)
Types of Firms
Types of Firms
Introducing and Clearing Firms
Muni Advisors
Non-U.S. Broker-Dealers / SEA Rule 15a-6
Separately Identifiable Department of Bank
Transfer Agents
Commodity Exchange Act
Commodity Exchange Act
Overview, Regulators, Documents
Overview, Regulators, Documents
Commodity Exchange Act
CFTC Rules
CEA Materials
CFTC Materials
National Futures Association
NFA Materials
NFA Rules
Materials of the Contract Markets
CPOs and CTAs
CPOs and CTAs
Registration
Registration
Registration Process
Existence of a Pool
Rule 4.7 Pool
Exemptions under Rule 4.5 and 4.6
Exemptions under Rules 4.13 and 4.14
Exemption under CEA Section 4m(1)
Exemption under CEA Section 4m(3)
Solely Incidental Exemption
Family Offices
Non-U.S. CPOs
Fingerprinting
Reporting and Recordkeeping
Reporting and Recordkeeping
Account Statements
Hypothetical Performance
Reporting on Form PQR and PR
Trading and Positions
Trading and Positions
Large Position / Large Trader Reports
Position Limits
Cross-Border
Cross-Border
Custody for Foreign Futures
Foreign Boards of Trade (FBOTs)
Non-U.S. Commodity Pool Operators
Non-U.S. FCMs
FCMs
FCMs
Capital
Capital
Early Warning
FCM, IB, RFD: Capital
FCM Insolvency
Risk Assessment Rules
Subordination Agreements
Withdrawals of Capital and Business Curtailment
Custody
Custody
Custody for Foreign Futures
FCM, IB, RFD, LTM, Swap Dealer: Custody
Recordkeeping and Reporting
Recordkeeping and Reporting
CFTC Disclosure Obligations
Large Position / Large Trader Reports
Risk Assessment Rules
Registration
Registration
FCM / IB Registration Requirement
Non-U.S. FCMs
Trading and Positions
Trading and Positions
Manipulative Trading
Position Limits
Compliance
Compliance
Business Continuity
Ethics Training
Fingerprinting
Investor Status
NFA By-Law 1101
Outsourcing
Political Contributions (Pay to Play)
Research
Self-Exam Questionnaire
Statutory Disqualification
Supervision
Volcker Rule
Markets
Markets
Derivatives Clearing Organizations (DCOs)
Foreign Boards of Trade (FBOTs)
Materials of the Contract Markets
SDRs and SBSDRs (Swap and Security-Based Swap Data Repositories)
Security Futures and Commodity Options
Security Futures and Commodity Options
Commodity Options
Security Futures: BD and FCM Regulation
Security Futures: Market Regulation
Swap Dealers and Swaps
Swap Dealers and Swaps
Overview of Swaps Rules
Margin
Trading and Clearing
Trading and Clearing
Clearing Procedures
Clearing Procedures
Overview, Documents
Made Available for Trading / Required Transactions / Blocks
SDRs and SBSDRs (Swap and Security-Based Swap Data Repositories)
Swap Clearing Requirement
Swap Confirmations and Acknowledgments
Swap Portfolio Compression
Swap Portfolio Reconciliation
Capital
Capital
BD, FCM, SD and SBSD Withdrawals of Capital and Business Curtailment
Swap Dealer and SBSD Capital
Enforcement and Bad Acts
Enforcement and Bad Acts
Arbitration
Bad Actor Disqualifications
Expungement of Information
Insider Trading
Securities Law Enforcement Procedures and Actions
Statutory Disqualification
Waivers
Whistleblowers
CFIUS / ERISA / SEA Section 13
CFIUS / ERISA / SEA Section 13
CFIUS Materials
DOL and EBSA ERISA Materials
Exchange Act Reporting
Exchange Act Reporting
SEA Large Trader Reports
SEA 13(f) Position Reporting
Issuer Governance and Disclosures
Issuer Governance and Disclosures
Rating Agencies
Governance / Proxies
Governance / Proxies
SEC Materials on Governance
Handling of Proxies by Broker-Dealers
Proxy Advisors and Proxy Advice
Transactions
Transactions
Partial Tenders
Issuer Repurchases Rule 10b-18
Regulation S-K
Regulation S-K
Reg S-K (Rule by Rule)
Items 100 to 105
Items 100 to 105
Item 101 (Description of Business)
Item 102 (Description of Property)
Item 103 (Legal Proceedings)
Item 104 (Mine Safety)
Item 105 (Risk Factors)
Items 201 and 202 (Securities of the Registrant)
Items 301-308
Items 301-308
Items 301 and 302 (Financial Disclosures)
Item 303 (Management Discussion and Analysis)
Item 304 (Accountants)
Item 305 (Market Risk)
Items 307 and 308 (Controls)
Items 401-407
Items 401-407
Item 401 (Directors, Insiders)
Item 402 (Executive Compensation)
Item 403 (Ownership)
Item 404 (Transactions with Related and Control Persons)
Item 405 (SEA Section 16)
Item 406 (Code of Ethics)
Item 407 (Governance)
Items 501-508
Items 501-508
Items 501-503 (Prospectus Cover and Summary)
Items 504-506 (Proceeds, Price, Dilution)
Items 507-511 (Distribution Disclosures)
Item 512 (Undertakings)
Item 601 (Exhibits)
Items 701-703
Items 701-703
Item 701 (Unregistered Sales)
Item 702 (Indemnification)
Item 703 (Issuer Purchases)
Items 801-1406
Items 801-1406
Items 801-802 (Industry Guides)
Items 901-915 (Roll-Ups)
Items 1201-1208 (Oil and Gas)
Items 1301-1305 (Mining)
Items 1401-1406 (Banks)
Other Disclosure Matters
Other Disclosure Matters
Conflict Minerals
Resource Extraction
Pay Ratio
Regulation FD
Prospectus Matters
Prospectus Matters
Preliminary Prospectus
Final Prospectus
Free-Writing Prospectus
Products and Contracts
Products and Contracts
What is a Security?
Asset-Backed
Asset-Backed
ABS Due Diligence Reports
Credit Risk Retention
Regulation AB
ESG / Climate
Securities Financing
Securities Financing
Repo Agreements
Securities Lending
Regulation T and Rule 4210
Regulation U and Regulation X
Intellectual Property
Munis
Munis
Advertising
Advisors
Advisor Conduct Regulation
Advisor Investment Brochure
Advisor Record Keeping
Advisor Registration Requirement
Associated Persons
Dealer & Advisor Registration Process
Distribution Procedures
Electronic Municipal Market Access
Fair Dealing
Financial Advisory
MSRB & Municipal Securities Materials
Offering Disclosures
Oversight of Muni Firms
Recordkeeping
SA Section 3(a)(2) Exemptions
Security Quoting Obligations
Sophisticated Municipal Market Pros
Suitability
Supervision
Time of Trade Disclosures
Trade Confirmations
Trade Reporting
Trade Settlement & Uniform Practices
Digital Assets, Cryptos and ICOs
LIBOR & Indices
Options and Security Futures
Options and Security Futures
Callable Securities
Commodity Options
Index & Currency Warrants
Large Option Position Reporting
Security Futures: BD and FCM Regulation
Security Futures: Market Regulation
Government Securities Materials
Government Securities Materials
Government Securities
Rule by Rule
Large Position Reports
BDs: Registration Requirement
Foreign Currency
Marketplace Lending
ESG, Climate Change, Sustainability
Securities Offerings
Securities Offerings
Securities Offering Documents
Securities Act Rule by Rule
Registered Offerings
Registered Offerings
Free-Writing Prospectus
Preliminary Prospectus
SA Rule 430 A, Rule 430B, Rule 430C and Rule 430D
SA Section 3 Exemptions
SA Section 3 Exemptions
SA § 3 Exemptions and Related Rules
SA § 3(a)(2) Exemption for Govs, Munis, Banks, Etc.
SA § 3(a)(3) Current Transactions
SA § 3(a)(4) Charitable Organizations
SA § 3(a)(5) Savings and Loans; Farmer's Cooperatives
SA § 3(a)(6) Railroad Equipment Trusts
SA § 3(a)(7) Receiver in Bankruptcy
SA § 3(a)(8) Insurance and Annuities
SA § 3(a)(9) Exchange Offers
SA § 3(a)(10)Court Approved Exchanges
SA § 3(a)(11) Intrastate Offerings
SA § 3(a)(12) Bank Holdco Reorganizations
SA § 3(a)(13) Church Plans
SA § 3(a)(14) Security Futures Products
SA Section 4 Exemptions
SA Section 4 Exemptions
SA § 4 Transaction Exemptions and Related Rules
Accredited Investors
Bad Actor Disqualifications as to Securities Offerings
SA Exemption: Rule 144A
SA § 4(a)(1) Not by An Issuer, Underwriter or Dealer
SA § 4(a)(2) Private Placements
SA § 4(a)(3) Dealer Prospectus Delivery
SA § 4(a)(4) Exemption for Brokers' Transactions
SA § 4(a)(5) First Liens on Real Estate
SA § 4(a)(6) Sales of Less Than $5 Million
Other SA Exemptions
Other SA Exemptions
Regulation S - Non U.S. Offerings
Exemption: Rule 144 and Rule 145
SA Rule 144A
Regulation A and Regulation A+
Regulation E
Rule 701: Compensatory Securities Offerings
Cross-Border Transactions
SEA Distribution Rules
SEA Distribution Rules
Contingent Offerings
Disclosures of Conflicts
Prospectus Delivery
Regulation M (Trading in Connection with Offering)
Sales at the Market
FINRA Distribution Rules
FINRA Distribution Rules
Corporate Financing Rules
New Issue Allocations
Notification of Reg M Distribution
Private Placement Rules
Selling Syndicate Procedures
State Law Materials
Other Content
News
Regulatory Change Management Tracker
Rules in Transition
Enforcement
User account menu
My account
My account
Profile Settings
Alerts
Bookmarked Pages
Logout
X
SUBSCRIBE
SIGN IN
Sign in to your account
Email or username
Enter your email address or username.
Password
Enter the password that accompanies your email address.
Sign in
Forgot password?
To learn about US Regulatory Intelligence or to subscribe, email
[email protected]
.
Learn More
