Volcker Rule
The Volcker Rule: Frequently Asked Questions
Compliance Program
- Annual CEO Attestation (September 10, 2014)
- CEO Certification for Prime Brokerage Transactions (September 25, 2015)
- Compliance for Market Making and the Identification of Covered Funds (September 25, 2015)
- Termination of Market-Making Activity: Treatment of Residual Positions (November 20, 2015)