Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and Exchange Commission and the Commodity Futures Trading Commission. The SEC has...more
- CFTC Dodd-Frank Public Comment Rulemaking Process SEC Security-Based Swaps
The Securities and Exchange Commission issued a request for data and other information that the SEC will review while considering alternative standards of conduct for broker-dealers and investment advisers when they provide...more
- Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser SEC
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