01/23/2013 12:00 p.m. - 01:30 p.m. EST
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, and Derivatives + Commodities
David H. Kaufman
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The Securities and Exchange Commission (SEC) adopted new Rule 17Ad-22 on Clearing Agency Standards in accordance with relevant sections of the Securities Exchange Act of 1934 and of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 17Ad-22 establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls as well as meet the statutory requirements under the Exchange Act on an ongoing basis.
ALI CLE will provide CLE Credit.
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