Securities and Exchange Commission May 2014 – Federal Register Recent Federal Regulation Documents
Results 51 - 100 of 189
Credit Suisse Asset Management, LLC, et al.; Notice of Application and Temporary Order
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to a guilty plea entered on May 19, 2014, by Credit Suisse AG (``CSAG'') in the U.S. District Court for the Eastern District of Virginia (``District Court'') in connection with a plea agreement between CSAG and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order.
Standards for Covered Clearing Agencies
The Securities and Exchange Commission (``SEC'' or ``Commission'') proposes to amend Rule 17Ad-22 and add Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 (``Exchange Act'') and the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act''), adopted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''). Among other things, the proposed rules would establish standards for the operation and governance of certain types of registered clearing agencies that meet the definition of a ``covered clearing agency.''
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