Regulatory News

Securities Regulations

 
 
Date Title Category
October 2, 2012 Swap Entities

Federal agencies published notice today that they have reopened the comment period on a proposed rule to establish margin and capital requirements for swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants. The reopened comment period will close November 26.

Securities
Date Title Category
August 29, 2008 Regulatory News Securities Regulation

A Small Entity Compliance Guide for Regulation R is available. Regulation R implements securities-law exceptions for banks acting as brokers.

Securities