The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more
- CFTC Clearing Agencies Filing Requirements Registration SEC
The Securities and Exchange Commission’s Division of Trading and Markets has issued Frequently Asked Questions (FAQs) that provide guidance on the exemption from broker-dealer registration in Section 201(c) of the Jumpstart...more
- Advertising Broker-Dealer Exemptions General Solicitation JOBS Act Registration Rule 506 Offerings SEC Section 4(b) Securities Act of 1933
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