RCW Staff

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Goldman, Sachs & Company October 31, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL IM ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. October 31, 2003 RESPONSE OF THE ...

Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 UBS Securities LLC (f/k/a UBS Warburg LLC) October 31, 2003 RESPONSE OF THE OFFICE OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240 and 242[Release No. 34-48709; File No. S7-23-03] RIN 3235-AJ00Short SalesAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48694; File No. S7-22-03]RIN 3235-AI97Supervised Investment Bank Holding CompaniesAGENCY:Securities and Exchange Commission (the "Commission").ACTION:Proposed rule.SUMMARY:The Commission is ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-48690; File No. S7-21-03] RIN 3235-AI96 Alternative Net Capital Requirements for Broker-Dealers That Are Part ...

Investment Advisers Act of 1940 – Rule 206(4)-3 James DeYoung October 24, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. 200385177Mr. James ...

Investment Company Act of 1940 Sections 6�, 17(b), 12(d)(i)(j) and Rule 17d-1 MTB Group of Funds October 21, 2003 RESPONSE OF THE OFFICE OF INVESTMENT ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-48545; File No. S7-17-03Business Continuity Planning for Trading MarketsAGENCY:Securities and Exchange Commission.ACTION:Policy statement; request for comment.SUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48272; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...