Brokers
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Most Cited Entries
- Short Sales
08/06/2004; 63 citations - Significant Price Discovery Contracts on Exempt Commercial Markets
12/12/2008; 51 citations - Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization
12/08/2004; 48 citations - Amendments to Regulation SHO
03/10/2010; 32 citations - Significant Price Discovery Contracts on Exempt Commercial Markets
03/23/2009; 29 citations - Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
06/18/2007; 20 citations - Derivatives Clearing Organization General Provisions and Core Principles
11/08/2011; 19 citations - Short Sales
11/06/2003; 19 citations - Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
04/03/2012; 16 citations - Proposed Rules for Nationally Recognized Statistical Rating Organizations
06/25/2008; 16 citations - Limitations on Affiliate Marketing (Regulation S-AM)
07/14/2004; 16 citations - Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans
07/15/2011; 15 citations - Regulation SHO and Rule 10a-1
07/03/2007; 15 citations - Consolidated Audit Trail
06/08/2010; 13 citations - Amendments to Regulation SHO
07/21/2006; 13 citations - Registration of Swap Dealers and Major Swap Participants
01/19/2012; 12 citations - Position Limits for Futures and Swaps
11/18/2011; 12 citations - Adaptation of Regulations to Incorporate Swaps
06/07/2011; 12 citations - Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
09/10/2010; 12 citations - Amendments to Rules for Nationally Recognized Statistical Rating Organizations
02/09/2009; 12 citations - Amendments to Regulation SHO
10/17/2008; 12 citations - Elimination of Flash Order Exception From Rule 602 of Regulation NMS
09/23/2009; 11 citations - Amendments to Regulation SHO
08/14/2007; 11 citations - Customer Margin Rules Relating to Security Futures
08/14/2002; 11 citations - Financial Crimes Enforcement Network; Anti-Money Laundering Programs for Financial Institutions
04/29/2002; 10 citations - Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations
07/13/2012; 9 citations - Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans; Exchange Standards for Employers
03/27/2012; 9 citations - Capital Requirements of Swap Dealers and Major Swap Participants
05/12/2011; 8 citations - References to Ratings of Nationally Recognized Statistical Rating Organizations
10/09/2009; 8 citations - Transfer and Reorganization of Bank Secrecy Act Regulations
11/07/2008; 8 citations - Amendments to Financial Responsibility Rules for Broker-Dealers
03/19/2007; 8 citations - Financial Crimes Enforcement Network; Anti-Money Laundering Programs; Special Due Diligence Programs for Certain Foreign Accounts
01/04/2006; 8 citations - Position Limits for Derivatives
01/26/2011; 7 citations - Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
12/03/2010; 7 citations - Proposed Rules for Nationally Recognized Statistical Rating Organizations
12/04/2009; 7 citations - References to Ratings of Nationally Recognized Statistical Rating Organizations
07/11/2008; 7 citations - “Naked†Short Selling Anti-Fraud Rule
03/21/2008; 7 citations - Definitions of Terms and Exemptions Relating to the “Broker†Exceptions for Banks
10/03/2007; 7 citations - Unified Registration System
05/19/2005; 7 citations - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
02/07/2012; 6 citations - Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest
01/06/2011; 6 citations - Amendments to Regulation SHO
04/20/2009; 6 citations - Amendment to Municipal Securities Disclosure
12/15/2008; 6 citations - Patient Protection and Affordable Care Act; Exchange Functions in the Individual Market: Eligibility Determinations; Exchange Standards for Employers
08/17/2011; 5 citations - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions
06/09/2011; 5 citations - Hours of Service of Drivers
12/29/2010; 5 citations - Financial Crimes Enforcement Network; Amendment to the Bank Secrecy Act Regulations-Definitions and Other Regulations Relating to Prepaid Access
06/28/2010; 5 citations - Short Selling in Connection With a Public Offering
08/10/2007; 5 citations - Amendments to Regulation SHO and Rule 10a-1
12/13/2006; 5 citations - Alternative Market Risk and Credit Risk Capital Charges for Futures Commission Merchants and Specified Foreign Currency Forward and Inventory Capital Charges
10/11/2005; 5 citations
Agencies Using this Topic
Entry Types for Topic
"Brokers" combines the following topics from the Federal Register:
- Brokers
- Broker
Related Topics
- Reporting and recordkeeping requirements (229)
- Commodity futures (106)
- Securities (100)
- Administrative practice and procedure (84)
- Consumer protection (60)
- Banks (42)
- Banking (39)
- Foreign banking (39)
- Currency (37)
- Penalties (37)
- Counter-terrorism (27)
- Counter money laundering (27)
- Advertising (25)
- Investments (21)
- Banks and banking (21)
- Commodity pool operators (21)
- Commodity trading advisors (21)
- Fraud (20)
- Motor carriers (18)
- Investigations (18)
- Conflict of interests (16)
- Authority delegations (government agencies) (16)
- Freight forwarders (15)
- Credit (14)
- Loans (13)
- Swap dealers (13)
- Foreign trade (13)
- Organization and functions (government agencies) (13)
- Swaps (12)
- Gambling (12)
- Licensing (12)
- Foreign currencies (12)
- Agricultural commodities (12)
- Iran (11)
- Margin (11)
- Dealers (11)
- Technical assistance (11)
- Highway safety (10)
- Motor vehicle safety (10)
- Major swap participants (10)
- Customs duties and inspection (10)
- Privacy (9)
- Sunshine act (9)
- Margin requirements (9)
- Hazardous materials transportation (9)
- Buses (8)
- Safety (8)
- Imports (8)
- Health care (8)
- Law enforcement (8)
- Investment companies (8)
- Grant programs-health (8)
- Moving of household goods (8)
- Individuals with disabilities (8)
- Minimum financial requirements (8)
- Confidential business information (8)
- Youth (7)
- Women (7)
- Indians (7)
- Medicaid (7)
- Terrorism (7)
- Hospitals (7)
- Bankruptcy (7)
- Definitions (7)
- Registration (7)
- Health records (7)
- Health insurance (7)
- Investment advisers (7)
- Loan programs-health (7)
- Grants administration (7)
- Public assistance programs (7)
- State and local governments (7)
- Health maintenance organization (hmo) (7)
- Transfer agents (6)
- Advisory committees (6)
- Mexico (5)
- Customers (5)
- Customer protection (5)
- Clearing (4)
- Disclosure (4)
- Principals (4)
- Security futures products (4)
- Intermodal transportation (4)
- Retail foreign exchange dealers (4)
- Prohibited transactions in commodity options (4)
- Claims (3)
- Issuers (3)
- Services (3)
- Insurance (3)
- Directors (3)
- Committees (3)
- Agriculture (3)
- Surety bonds (3)
- Special calls (3)
- Bulk transfers (3)
- Risk assessment (3)
- Customer's money (3)
- Foreign exchange (3)
- Trading practices (3)
- Blocking of assets (3)
