Recent Updates

§ 240.15c3-1 Net capital requirements for brokers or dealers.

Amendment    |   Updated: 07/31/2020

§ 240.15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).

Amendment    |   Updated: 07/31/2020

§ 240.17a-3 Records to be made by certain exchange members, brokers and dealers.

Amendment    |   Updated: 07/31/2020

§ 240.17a-5 Reports to be made by certain brokers and dealers.

Amendment    |   Updated: 07/31/2020

§ 240.18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.

Amendment    |   Updated: 07/31/2020

§ 232.106 Prohibition against electronic submissions containing executable code.

Amendment    |   Updated: 07/31/2020

Appendix I to Subpart Ato Part 5—FOIA Contact Information

Amendment    |   Updated: 07/31/2020

Appendix A to Subpart C of Part 5—Service of Process of Summonses, Complaints, and Subpoenas

Amendment    |   Updated: 07/31/2020

Appendix A to Part 5—FOIA/Privacy Act Offices of the Department of Homeland Security

Amendment    |   Updated: 07/31/2020

Appendix C to Part 5—DHS Systems of Records Exempt From the Privacy Act

Amendment    |   Updated: 07/31/2020

§ 213.7 Policies.

Amendment    |   Updated: 07/31/2020

§ 1807.700 Notice of funds availability.

Amendment    |   Updated: 07/31/2020

§ 351.6 Other permitted proprietary trading activities.

Amendment    |   Updated: 07/31/2020

§ 351.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.

Amendment    |   Updated: 07/31/2020

§ 351.12 Permitted investment in a covered fund.

Amendment    |   Updated: 07/31/2020

§ 351.13 Other permitted covered fund activities and investments.

Amendment    |   Updated: 07/31/2020

§ 351.14 Limitations on relationships with a covered fund.

Amendment    |   Updated: 07/31/2020

§ 351.20 Program for compliance; reporting

Amendment    |   Updated: 07/31/2020

§ 248.6 Other permitted proprietary trading activities.

Amendment    |   Updated: 07/31/2020

§ 248.10 Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.

Amendment    |   Updated: 07/31/2020