Broker Dealer Reports Us Securities And Exchange Commission Regulation Sec 2018 Edition
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| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 198 |
| Release | : 2019-01-23 |
| Genre | : Law |
| ISBN | : 9781794674110 |
The Law Library presents the complete text of the Broker-Dealer Reports (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission"), under the Securities Exchange Act of 1934 ("Exchange Act"), is amending certain broker-dealer annual reporting, audit, and notification requirements. The amendments include a requirement that broker-dealer audits be conducted in accordance with standards of the Public Company Accounting Oversight Board ("PCAOB") in light of explicit oversight authority provided to the PCAOB by the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") to oversee these audits. The amendments further require a broker-dealer that clears transactions or carries customer accounts to agree to allow representatives of the Commission or the broker-dealer's designated examining authority ("DEA") to review the documentation associated with certain reports of the broker-dealer's independent public accountant and to allow the accountant to discuss the findings relating to the reports of the accountant with those representatives when requested in connection with a regulatory examination of the broker-dealer. Finally, the amendments require a broker-dealer to file a new form with its DEA that elicits information about the broker-dealer's practices with respect to the custody of securities and funds of customers and non-customers. This ebook contains: - The complete text of the Broker-Dealer Reports (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 116 |
| Release | : 2019-01-24 |
| Genre | : Law |
| ISBN | : 9781795053792 |
The Law Library presents the complete text of the Large Trader Reporting (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting new Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 ("Exchange Act") to assist the Commission in both identifying, and obtaining trading information on, market participants that conduct a substantial amount of trading activity, as measured by volume or market value, in the U.S. securities markets. Rule 13h-1 will require a "large trader," defined as a person whose transactions in NMS securities equal or exceed 2 million shares or $20 million during any calendar day, or 20 million shares or $200 million during any calendar month, to identify itself to the Commission and make certain disclosures to the Commission on Form 13H. Upon receipt of Form 13H, the Commission will assign to each large trader an identification number that will uniquely and uniformly identify the trader, which the large trader must then provide to its registered broker-dealers. Such registered broker-dealers will then be required to maintain records of two additional data elements in connection with transactions effected through accounts of such large traders (the large trader identification number, and the time transactions in the account are executed). In addition, the Commission is requiring that such broker-dealers report large trader transaction information to the Commission upon request through the Electronic Blue Sheets systems currently used by broker-dealers for reporting trade information. Finally, certain registered broker-dealers subject to the Rule will be required to perform limited monitoring of their customers' accounts for activity that may trigger the large trader identification requirements of Rule 13h-1. This ebook contains: - The complete text of the Large Trader Reporting (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 78 |
| Release | : 2019-01-24 |
| Genre | : Law |
| ISBN | : 9781795070225 |
The Law Library presents the complete text of the Risk Management Controls for Brokers or Dealers with Market Access (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission" or "SEC") is adopting new Rule 15c3-5 under the Securities Exchange Act of 1934 ("Exchange Act"). Rule 15c3-5 will require brokers or dealers with access to trading securities directly on an exchange or alternative trading system ("ATS"), including those providing sponsored or direct market access to customers or other persons, and broker-dealer operators of an ATS that provide access to trading securities directly on their ATS to a person other than a broker or dealer, to establish, document, and maintain a system of risk management controls and supervisory procedures that, among other things, are reasonably designed to systematically limit the financial exposure of the broker or dealer that could arise as a result of market access, and ensure compliance with all regulatory requirements that are applicable in connection with market access. The required financial risk management controls and supervisory procedures must be reasonably designed to prevent the entry of orders that exceed appropriate pre-set credit or capital thresholds, or that appear to be erroneous. The regulatory risk management controls and supervisory procedures must also be reasonably designed to prevent the entry of orders unless there has been compliance with all regulatory requirements that must be satisfied on a pre-order entry basis, prevent the entry of orders that the broker or dealer or customer is restricted from trading, restrict market access technology and systems to authorized persons, and assure appropriate surveillance personnel receive immediate post-trade execution reports. This ebook contains: - The complete text of the Risk Management Controls for Brokers or Dealers with Market Access (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 198 |
| Release | : 2019-01-29 |
| Genre | : Law |
| ISBN | : 9781795388986 |
The Law Library presents the complete text of the Financial Responsibility Rules for Broker-Dealers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 ("Exchange Act"). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments. This ebook contains: - The complete text of the Financial Responsibility Rules for Broker-Dealers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 28 |
| Release | : 2019-01-18 |
| Genre | : Law |
| ISBN | : 9781794339910 |
The Law Library presents the complete text of the Retail Foreign Exchange Transactions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 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 ebook contains: - The complete text of the Retail Foreign Exchange Transactions (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee |
| Publisher | : |
| Total Pages | : 318 |
| Release | : 1974 |
| Genre | : Securities |
| ISBN | : |
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 34 |
| Release | : 2019-01-25 |
| Genre | : Law |
| ISBN | : 9781795103701 |
The Law Library presents the complete text of the Regulation SHO and Rule 10a-1 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission ("Commission") is amending the short sale price test under the Securities Exchange Act of 1934 ("Exchange Act"). The amendments are intended to provide a more consistent regulatory environment for short selling by removing restrictions on the execution prices of short sales ("price tests" or "price test restrictions"), as well as prohibiting any self-regulatory organization ("SRO") from having a price test. In addition, the Commission is amending Regulation SHO to remove the requirement that a broker-dealer mark a sell order of an equity security as "short exempt," if the seller is relying on an exception from a price test. This ebook contains: - The complete text of the Regulation SHO and Rule 10a-1 (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : |
| Publisher | : Aspen Law & Business Publishers |
| Total Pages | : 254 |
| Release | : 2002 |
| Genre | : Business & Economics |
| ISBN | : |
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 72 |
| Release | : 2019-01-17 |
| Genre | : Law |
| ISBN | : 9781794294646 |
The Law Library presents the complete text of the Removal of Certain References to Credit Ratings under the Securities Exchange Act (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 The Securities and Exchange Commission (the "Commission") is adopting amendments that remove references to credit ratings in certain rules and one form under the Securities Exchange Act of 1934 (the "Exchange Act") relating to broker-dealer financial responsibility and confirmations of securities transactions. This action implements a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). This ebook contains: - The complete text of the Removal of Certain References to Credit Ratings under the Securities Exchange Act (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
| Author | : The Law Library |
| Publisher | : Independently Published |
| Total Pages | : 384 |
| Release | : 2019-01-18 |
| Genre | : Law |
| ISBN | : 9781794357006 |
The Law Library presents the complete text of the Reporting and Dissemination of Security-Based Swap Information (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition). Updated as of May 29, 2018 In accordance with Section 763 and Section 766 of Title VII ("Title VII") of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), the Securities and Exchange Commission ("SEC" or "Commission") is adopting Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information ("Regulation SBSR") under the Securities Exchange Act of 1934 ("Exchange Act"). Regulation SBSR provides for the reporting of security-based swap information to registered security-based swap data repositories ("registered SDRs") or the Commission, and the public dissemination of security-based swap transaction, volume, and pricing information by registered SDRs. Registered SDRs are required to establish and maintain certain policies and procedures regarding how transaction data are reported and disseminated, and participants of registered SDRs that are registered security-based swap dealers or registered major security-based swap participants are required to establish and maintain policies and procedures that are reasonably designed to ensure that they comply with applicable reporting obligations. Regulation SBSR contains provisions that address the application of the regulatory reporting and public dissemination requirements to cross-border security-based swap activity as well as provisions for permitting market participants to satisfy these requirements through substituted compliance. Finally, Regulation SBSR will require a registered SDR to register with the Commission as a securities information processor. This ebook contains: - The complete text of the Reporting and Dissemination of Security-Based Swap Information (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition) - A dynamic table of content linking to each section - A table of contents in introduction presenting a general overview of the structure
