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You are here: SEC & Securities Law Recent Rules Releases

SECLogoCredit Risk Retention

Final Rules Release
October 22, 2014

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SECLogoDisclosure of Hedging by Employees, Officers and Directors

Proposed Rules Release
February 9, 2015

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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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