Securities
Most Recent 50 Entries
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December 2012
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November 2012
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Friday 23
- Purchase of Certain Debt Securities by Business and Industrial Development Companies Relying on an Investment Company Act Exemption
- Policy Statement on the Scenario Design Framework for Stress Testing
- Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers
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Thursday 15
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Friday 09
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Thursday 08
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Tuesday 06
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Friday 02
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October 2012
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September 2012
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August 2012
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Thursday 30
- Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Minimum Regulatory Capital Ratios, Capital Adequacy, Transition Provisions, and Prompt Corrective Action
- Regulatory Capital Rules: Standardized Approach for Risk-Weighted Assets; Market Discipline and Disclosure Requirements
- Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule; Market Risk Capital Rule
- Risk-Based Capital Guidelines: Market Risk
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Monday 13
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Thursday 02
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Wednesday 01
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July 2012
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June 2012
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March 2012
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February 2012
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January 2012
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December 2011
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November 2011
Most Cited Entries
- Medicare and Medicaid Programs: Hospital Outpatient Prospective Payment; Ambulatory Surgical Center Payment; Hospital Value-Based Purchasing Program; Physician Self-Referral; and Patient Notification Requirements in Provider Agreements
11/30/2011; 199 citations - Medicare and Medicaid Programs: Hospital Outpatient Prospective Payment; Ambulatory Surgical Center Payment; Hospital Value-Based Purchasing Program; Physician Self-Referral; and Provider Agreement Regulations on Patient Notification Requirements
07/18/2011; 163 citations - Hospital Outpatient Prospective and Ambulatory Surgical Center Payment Systems and Quality Reporting Programs; Electronic Reporting Pilot; Inpatient Rehabilitation Facilities Quality Reporting Program; Quality Improvement Organization Regulations
07/30/2012; 110 citations - Short Sales
08/06/2004; 63 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 - Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”
12/21/2010; 43 citations - Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
06/18/2003; 38 citations - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
05/23/2011; 34 citations - Amendments to Regulation SHO
03/10/2010; 32 citations - Standards Relating to Listed Company Audit Committees
04/16/2003; 30 citations - Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934
07/22/2005; 26 citations - Exchange-Traded Funds
03/18/2008; 24 citations - Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology
07/28/2010; 23 citations - Establishment of the Temporary Certification Program for Health Information Technology
06/24/2010; 23 citations - Compliance Programs of Investment Companies and Investment Advisers
12/24/2003; 23 citations - Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology
01/13/2010; 21 citations - Executive Compensation and Related Person Disclosure
09/08/2006; 21 citations - Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
06/18/2007; 20 citations - Asset-Backed Securities
05/03/2010; 19 citations - Confirmation Requirements and Point of Sale Disclosure Requirements for Transactions in Certain Mutual Funds and Other Securities, and Other Confirmation Requirement Amendments, and Amendments to the Registration Form for Mutual Funds
02/10/2004; 19 citations - Short Sales
11/06/2003; 19 citations - Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
03/25/2004; 18 citations - Mandated Electronic Filing and Web Site Posting for Forms 3, 4 and 5
05/13/2003; 18 citations - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
08/13/2012; 17 citations - Asset-Backed Securities
01/07/2005; 17 citations - Proposed Rules for Nationally Recognized Statistical Rating Organizations
06/25/2008; 16 citations - Electronic Filing and Revision of Form D
02/27/2008; 15 citations - Regulation SHO and Rule 10a-1
07/03/2007; 15 citations - Internet Availability of Proxy Materials
01/29/2007; 14 citations - Consolidated Audit Trail
06/08/2010; 13 citations - Proposed Establishment of Certification Programs for Health Information Technology
03/10/2010; 13 citations - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
11/30/2007; 13 citations - Amendments to Regulation SHO
07/21/2006; 13 citations - Risk-Based Capital Guidelines: Market Risk
01/11/2011; 12 citations - Money Market Fund Reform
03/04/2010; 12 citations - Interactive Data To Improve Financial Reporting
02/10/2009; 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 - Oil Pollution Prevention; Spill Prevention, Control, and Countermeasure Rule Requirements-Amendments
10/15/2007; 12 citations - Regulation B
06/30/2004; 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 - Shareholder Choice Regarding Proxy Materials
08/01/2007; 11 citations - Investment Adviser Codes of Ethics
07/09/2004; 11 citations - Interactive Data To Improve Financial Reporting
06/10/2008; 10 citations - Smaller Reporting Company Regulatory Relief and Simplification
01/04/2008; 10 citations - HIPAA Administrative Simplification; Enforcement
04/18/2005; 10 citations - Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
03/09/2004; 10 citations - Disclosure of Order Execution and Routing Practices
12/01/2000; 10 citations - Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Minimum Regulatory Capital Ratios, Capital Adequacy, Transition Provisions, and Prompt Corrective Action
08/30/2012; 9 citations
Agencies Using this Topic
Entry Types for Topic
"Securities" combines the following topics from the Federal Register:
- Securities
- Security
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