Example: tourism industry
Search results with tag "And segregation"
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 …
www.sec.govperformance of their duties under the federal securities laws or the rules and regulations thereunder. Finally, the Commission is using its authority under the Exchange Act to propose ... Segregation Requirements for Broker-Dealers, Exchange Act Release No. 86175 (June 21, 2019), 84 FR 43872 (Aug. 22, 2019) (“Capital, Margin, and Segregation ...
The Regulatory Regime for Security-Based Swaps
www.sec.govand segregation and business conduct standards. They would have to provide their counter-parties a trade acknowledgement detailing information specific to the security-based swap transaction. [3] ... duties of security-based swap data repositories, describing what tran