The latest Advisers Act Enforcement Action -- Andrey C. Hicks; IA-3419 (released 06/15/2012).
News & Insights
The SEC is requesting public comment on a statement of general policy ("Statement") on the anticipated sequencing of the compliance dates of final rules to be adopted by the SEC pursuant to certain provisions of Title VII of the Dodd-Frank Act, and the Exchange Act, as amended by those provisions. These provisions establish a framework for the regulation of security-based swaps and security-based swap market participants under the Exchange Act. The Statement presents a sequencing of the compliance dates for these final rules by grouping the rules into five categories and describes the
View all proposed rule changes here (links externally to SEC website).
Pursuant to Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder, notice is hereby given that on June 6, 2012, New York Stock Exchange LLC filed with the SEC the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. View all proposed changes here (links externally to SEC website).
View all upcoming changes to CME Rule 971 here (links externally to SEC website).