RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTs 240 and 242 [Release No. 34-44992 ; File No. S7-26-98] RIN 3235-AH04Books and Records Requirements for Brokers and Dealers ...

No-Action Letter under: Investment Company Act of 1940 – Section 6© and Rule 17(d) Neuberger Berman Management Inc. et. al. April 30, 2003 RESPONSE OF ...

Policy Statement: Reaffirming the Status of the FASB as a Designated Private-Sector Standard Setter SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33-8221; 34-47743; IC-26028; FR-70] Commission ...

No-Action Letter under Investment Advisers Act of 1940 — Section 206 and Rules 206(4)-3 Fahnestock & Company Inc. April 21, 2003 Response of the Office ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-47480; File No. S7-20-02]RIN 3235-AI51Customer Protection — Reserves and Custody of Securities Delegation of Authority ...

Securities and Exchange Commission 17 CFR PART 242 [Release Nos. 33-8193; 34-47384; File No. S7-30-02] RIN 3235-AI60 Regulation Analyst Certification Agency: Securities and Exchange Commission. ...

Final Rule: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Securities and Exchange Commission 17 CFR Parts 239, 249, ...

Final Rule: Disclosure in Management’s Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations Securities And Exchange Commission 17 CFR Parts 228, 229 ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 249 [RELEASE NO. 33-8183A; 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68, File No. S7-49-02] RIN 3235-AI73 STRENGTHENING THE COMMISSION’S REQUIREMENTS ...

Securities and Exchange CommissionRIN 3235-AH16 [Release No. IC-25934; File No. S7-22-01]RIN 3235-AG71Custody of Investment Company Assets with a Securities DepositoryAgencySecurities and Exchange Commission ("Commission").Action:Final rule..SUMMARY:The ...