author robert-hardy 
Reynolds Holding
OCTOBER 15, 2023
Congress did so even though the Financial Industry Regulatory Authority (FINRA) already had been making some disclosures with regard to short sale transactions. Separately, since 1978, investment managers have had to report their long positions quarterly on so-called 13f filings.
Reynolds Holding
APRIL 7, 2022
Thus, as part of the Dodd-Frank Act, Congress granted this agency broad authority to regulate security-based swaps, including the mandate we’re acting upon here today. The 2008 financial crisis had many chapters, but a form of security-based swaps — credit default swaps — played a lead role throughout the story. ENDNOTES. [1] 159-192). [2]
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