• Categories

  • Content Type

  • Sort by

34 results found.

Search site Search PDFs

New AI-powered semantic search results are marked with the AI SEARCH tag.

AI SEARCH

Disclosures

Dodd-Frank Disclosure Requirements Some of the Disclosures below relate to the requirements under regulations promulgated by… Read more Disclosures

Documents (0) for Disclosures

AI SEARCH

Committee: SRO Task Force

Under the current SRO Rules, a full legal review is required for all SROs (for both the initial determination and replenishments), however, it was never established how to fund the number of legal reviews necessary to grow and maintain the SRO List. This has resulted in the current SRO List only covering a small universe of Reference Entities and consisting largely of matured obligations which have not been replaced.