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Searching Content indexed under Capital Adequacy/BASEL by Bruce Newman ordered by Published Date Descending.
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The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
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FINRA Now Authorized To Seek SARs Materials From Member Broker-Dealers
In December, 2010, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued a final rule (Final Rule), effective January 3, 2011, amending the Bank Secrecy Act (BSA) regulations relating to disclosure of suspicious activity reports (SARs) by financial institutions and governmental authorities.
United States
28 Feb 2012
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