SEC

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Finance/Banking

SEC, Order Granting a Conditional Exemption to Broker-Dealers From Requirements in Rules 15c3–1 And 15c3–3 Under the Securities Exchange Act of 1934 ; Purchase of Deferred Variable Annuity Contracts (September 13, 2007)
SEC, Final Rule, Definitions of Terms and Exemptions Relating to the ‘‘Broker'' Exceptions for Banks (October 3, 2007)
SEC, Fed Finalize Bank-Broker Rules (2007)
Incentive-Based Compensation Arrangements, Proposed Rule (April 14, 2011)
Credit Risk Retention, Notice of Proposed Rulemaking (2011)
SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading (2011)

Oil & Gas

SEC Staff Accounting Bulletin: Topic 12: Oil and Gas Producing Activities