BD Rules & Regulatory Actions Archives | Page 311 of 312

Small Business Initiatives

Final Rule Releases

RCW Staff

August 13 1992

Registration Requirements for Foreign Broker-Dealers

Final Rule Releases

RCW Staff

August 15 1989

Nonpublic Offering Exemption

Final Rule Releases

RCW Staff

November 6 1962

SECURITIES AND EXCHANGE COMMISSIONRelease No. 33-4552RIN 3235-AI80Nonpublic Offering ExemptionAGENCY:Securities and Exchange Commission.ACTION:Final RuleDATES:November 6, 1962 The Commission today announced the issuance of a statement regarding ...

Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities

Final Rule Releases

RCW Staff

January 1 0001

Final Rule:Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 [Release Nos. 33-7959; IC-24886] ...

Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others

Mutual Funds

RCW Staff

January 1 0001

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-AE14Disclosure Concerning Legal Proceedings Involving ...

Disclosure of Order Routing and Execution Practices

Best Execution

RCW Staff

January 1 0001

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43084; File No. S7-16-00]RIN 3235-AH95Disclosure of Order Routing and Execution PracticesAGENCY:Disclosure of Order Routing and Execution PracticesACTION:Proposed ...

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BD Rules & Regulatory Actions

Cybersecurity Risk Management Rule for Broker-Dealers and others

Shortening the Securities Transaction Settlement Cycle

Failing to heed red flags costs firm $100k in SEC settlement

Observations from Broker-Dealer Examinations Related to Regulation Best Interest

Regulation Best Execution

Small Business Initiatives

Registration Requirements for Foreign Broker-Dealers

Nonpublic Offering Exemption

Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities

Disclosure Concerning Legal Proceedings Involving Management, Promoters, Control Persons and Others

Disclosure of Order Routing and Execution Practices

BD Rules & Regulatory Actions

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