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Other Commission Orders, Notices, and Information Rule

Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

Last Reviewed or Updated: May 14, 2020

Resources

Other Commission Orders, Notices, and Information Rule: SEC Issued Version (pdf 153.67 KB)

Other Commission Orders, Notices, and Information Rule: Federal Register Version

Details

Rule Type

Other Commission Orders, Notices, and Information

Release Number

34-88866

SEC Issue Date

May 14, 2020

Federal Register Publish Date

May 19, 2020

Document Citation

85 FR 29993

Rules & Regulations

Enforcement & Litigation

Compliance

Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

Resources

Details

More in this Section

Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants

Resources

Details