Securities
Most Recent 50 Entries
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Most Cited Entries
- 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; 152 citations - Short Sales
08/06/2004; 55 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; 47 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; 39 citations - Management's Report on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports
06/18/2003; 38 citations - Amendments to Regulation SHO
03/10/2010; 30 citations - Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
05/23/2011; 26 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 - Standards Relating to Listed Company Audit Committees
04/16/2003; 26 citations - Compliance Programs of Investment Companies and Investment Advisers
12/24/2003; 23 citations - 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; 22 citations - Establishment of the Temporary Certification Program for Health Information Technology
06/24/2010; 20 citations - Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology
01/13/2010; 19 citations - Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations
06/18/2007; 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 - Asset-Backed Securities
05/03/2010; 18 citations - Executive Compensation and Related Person Disclosure
09/08/2006; 18 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 - 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 - 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 - Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology
07/28/2010; 12 citations - Consolidated Audit Trail
06/08/2010; 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 - Proposed Establishment of Certification Programs for Health Information Technology
03/10/2010; 11 citations - Amendments to Regulation SHO
08/14/2007; 11 citations - Shareholder Choice Regarding Proxy Materials
08/01/2007; 11 citations - Money Market Fund Reform
03/04/2010; 10 citations - Interactive Data To Improve Financial Reporting
06/10/2008; 10 citations - HIPAA Administrative Simplification; Enforcement
04/18/2005; 10 citations - Investment Adviser Codes of Ethics
07/09/2004; 10 citations - Shareholder Reports and Quarterly Portfolio Disclosure of Registered Management Investment Companies
03/09/2004; 10 citations - Risk-Based Capital Guidelines: Market Risk
01/11/2011; 9 citations - Amendments to Form ADV
08/12/2010; 9 citations - Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies
01/26/2009; 9 citations - Smaller Reporting Company Regulatory Relief and Simplification
01/04/2008; 9 citations - Acceptance From Foreign Private Issuers of Financial Statements Prepared in Accordance With International Financial Reporting Standards Without Reconciliation to U.S. GAAP
01/04/2008; 9 citations - Extension of Interactive Data Voluntary Reporting Program on the Edgar System To Include Mutual Fund Risk/Return Summary Information
07/17/2007; 9 citations - Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles
01/04/2007; 9 citations - Registration Under the Advisers Act of Certain Hedge Fund Advisers
12/10/2004; 9 citations
Agencies Using this Topic
Entry Types for Topic
"Securities" combines the following topics from the Federal Register:
- Securities
- Security
Related Topics
- Reporting and recordkeeping requirements (538)
- Administrative practice and procedure (141)
- Banks (105)
- Banking (104)
- Brokers (91)
- Federal reserve system (70)
- Penalties (65)
- Investments (53)
- Investment companies (52)
- Currency (48)
- Accounting (43)
- Holding companies (37)
- Savings associations (36)
- National banks (35)
- Government securities (35)
- Credit (34)
- Mortgages (33)
- Investigations (33)
- Confidential business information (32)
- Incorporation by reference (30)
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- Foreign trade (26)
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- Crime (20)
- Fraud (20)
- Small businesses (20)
- Foreign banking (19)
- Authority delegations (government agencies) (19)
- Privacy (18)
- Pensions (18)
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- Fiduciaries (18)
- Blocking of assets (18)
- Employee benefit plans (18)
- Prohibited transactions (18)
- Accountants (17)
- Advertising (17)
- Broker-dealers (17)
- Computer technology (16)
- Gambling (15)
- Medicaid (15)
- Medicare (15)
- Foreign currencies (15)
- Health (14)
- Services (14)
- Hospitals (14)
- Health care (14)
- Health records (14)
- Law enforcement (14)
- Health insurance (14)
- Electronic transactions (14)
- Trusts and trustees (13)
- Electronic funds transfer (12)
- Iran (11)
- Insurance (11)
- Health facilities (11)
- Foreign investments in u (11)
- Reporting and record-keeping requirements (11)
- Loans (10)
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- Communications common carriers (10)
- Radio (9)
- Margin (9)
- Terrorism (9)
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- Real estate (9)
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- Margin requirements (9)
- Grant programs-business (9)
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- Transfer agents (8)
- Medical research (8)
- Banks and banking (8)
- Employer benefit plan (8)
- Laboratories (7)
- Consumer protection (7)
- Community development (7)
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- Equal access to justice (7)
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- Imports (6)
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- Party in interest (5)
- Oil spill response (5)
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- Federal home loan banks (5)
