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You are here: SEC & Securities Law Recent Rules Releases

SECLogoRegistration of Municipal Advisors

Final Rules Release
September 20, 2013

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SECLogoPay Ratio Disclosure

Proposed Rules Release
September 18, 2013

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SECLogoCredit Risk Retention

Proposed Rules Release
August 28, 2013

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SECLogoBroker-Dealer Reports

Final Rules Release
July 30, 2013

SECLogoFinancial Responsibility Rules for Broker-Dealers

Final Rules Release
July 30, 2013

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SECLogoDisqualification of Felons and Other "Bad Actors" from Rule 506 Offerings

Final Rules Release
July 10, 2013

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SECLogoMoney Market Fund Reform

Proposed Rules Release
June 5, 2013

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SECLogoIdentity Theft Red Flags Rules

Final Rules Release
April 10, 2013

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