BD Rules & Regulatory Actions

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 200, 228, 229, 230, 240, and 242Release Nos. 33-7375; 34-38067; IC-22412; International Series Release No. 1039; File No. S7-11-96 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230 and 239Release Nos. 33-7380; 34-38164; IC-22464; File No. S7-3-97International Series No.1044RIN: 3235-AG88Plain English DisclosureAGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-37972; File No. S7-30-95RIN 3235-AG66Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final Rule; Revised Compliance DatesSUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-22389; File No. S7-15-94RIN 3235-AF97 Custody of Investment Company Assets with Futures Commission Merchants and Commodity Clearing ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-37619A ; File No. S7-30-95]RIN 3235-AG66 Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final RulesSUMMARY:The Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-38110; File No. S7-30-95RIN 3235-AG66Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final Rule; Revised Effective Date; Revised Compliance DatesSUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 270Release No. 34-38073, IC-22415, File No. S7-32-96RIN 3235-AH10Securities Transactions Exempt from Transaction Fees.AGENCY:Securities and Exchange Commission.ACTION: Final ...
The Commission is staying a rule and a provision in a rule under the Investment Advisers Act of 1940 that require the filing of Form ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release Nos. 33-7376; 34-38068; IC-22413; File No. S7-12-96RIN 3235-AG78Odd-lot Tender Offers by IssuersAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The ...
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