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  • 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
      • SBA Materials
      • 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)
      • Patents (35 U.S.C.)
      • Patents, Trademarks and Copyrights (37 CFR 1.1 - 501.11)
      • 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
      • Delaware Corporate Law
      • 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
    • Delaware Corporate Law Materials
    • 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
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