Securities and Exchange Commission July 2011 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 172
Rules Implementing Amendments to the Investment Advisers Act of 1940
The Securities and Exchange Commission is adopting new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration by investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and require reporting by certain investment advisers that are exempt from registration. In addition, we are adopting rule amendments, including amendments to the Commission's pay to play rule, that address a number of other changes made by the Dodd-Frank Act.
Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
The Securities and Exchange Commission (``Commission'') is proposing for comment new rules under the Securities Exchange Act of 1934 (``Exchange Act'') that are intended to implement provisions of Title VII (``Title VII'') of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act'') relating to external business conduct standards for security-based swap dealers (``SBS Dealers'') and major security-based swap participants (``Major SBS Participants'').
Retail Foreign Exchange Transactions
Under section 742(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), certain foreign exchange transactions with persons who are not ``eligible contract participants'' (commonly referred to as ``retail forex transactions,'' and as further defined below) with a registered broker or dealer (``broker-dealer'') will be prohibited as of July 16, 2011, in the absence of the Commission adopting a rule to allow such transactions under terms and conditions prescribed by the Commission. The Commission is adopting interim final temporary Rule 15b12-1T to allow a registered broker-dealer to engage in a retail forex business until July 16, 2012, provided that the broker-dealer complies with the Securities Exchange Act of 1934 (``Exchange Act''), the rules and regulations thereunder, and the rules of the self-regulatory organization(s) of which the broker-dealer is a member (``SRO rules''), insofar as they are applicable to retail forex transactions.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
