BD Rules & Regulatory Actions Archives | Page 311 of 313

Unlisted Trading Privileges

Proposed Rules

February 2 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-35323; File No. S7-4-95RIN 3235-AG28Unlisted Trading PrivilegesAGENCY:Securities and Exchange Commission.ACTION:Proposed rulemakingSUMMARY:The Securities and Exchange Commission ...

ADOPTION OF AMENDMENTS TO CLARIFY SAFE HARBORS FOR BROKER-DEALER RESEARCH REPORTS

Final Rule Releases

RCW Staff -

February 1 1995

Rulemaking for EDGAR System.

Final Rule Releases

RCW Staff -

January 30 1995

RECONCILIATION OF THE ACCOUNTING BY FOREIGN PRIVATE ISSUERS FOR BUSINESS COMBINATIONS

Final Rule Releases

RCW Staff -

December 13 1994

SELECTION OF REPORTING CURRENCY FOR FINANCIAL STATEMENTS OF FOREIGN PRIVATE ISSUERS AND RECONCILIATION TO...

Final Rule Releases

RCW Staff -

December 13 1994

FINANCIAL STATEMENTS OF SIGNIFICANT FOREIGN EQUITY INVESTEES AND ACQUIRED FOREIGN BUSINESSES OF DOMESTIC ISSUERS...

Final Rule Releases

RCW Staff -

December 13 1994

Notice of Assumption or Termination of Transfer Agent Services

Final Rule Releases

RCW Staff -

December 1 1994

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-35039; File No. S7-1-92]RIN 3235-AE20Notice of Assumption or Termination of Transfer Agent ServicesAGENCY:Securities and Exchange ...

Exemptive Relief and Simplification of Filing Requirements for Debt Securities to Be Listed On...

Final Rule Releases

RCW Staff -

December 1 1994

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240 and 249[Release No. 34-34922; File No. S7-16-94]RIN: 3235 - AG11Exemptive Relief and Simplification of Filing Requirements for Debt ...

Amendments to Proxy Rules for Registered Investment Companies

Final Rule Releases

RCW Staff -

November 23 1994

Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices.

Proposed Rules

RCW Staff -

October 27 1994

SECURITIES AND EXCHANGE COMMISSION(17 CFR Part 240)(Release No. 34-34903; File No. S7-30-94).RIN 3235-AG00Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices.AGENCY:Securities and Exchange Commission.ACTION:Proposed ...

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BD Rules & Regulatory Actions

Reporting of Securities Loans

Firm fined $35 million for recordkeeping violations tied to off-channel communications

B-D fined $800k for failing to file SARs

Citigroup agrees to pay $1.9m over Reg BI and Form CRS violations

B-D fined for creating deficient Reg BI P&Ps

Unlisted Trading Privileges

ADOPTION OF AMENDMENTS TO CLARIFY SAFE HARBORS FOR BROKER-DEALER RESEARCH REPORTS

Rulemaking for EDGAR System.

RECONCILIATION OF THE ACCOUNTING BY FOREIGN PRIVATE ISSUERS FOR BUSINESS COMBINATIONS

SELECTION OF REPORTING CURRENCY FOR FINANCIAL STATEMENTS OF FOREIGN PRIVATE ISSUERS AND RECONCILIATION TO...

FINANCIAL STATEMENTS OF SIGNIFICANT FOREIGN EQUITY INVESTEES AND ACQUIRED FOREIGN BUSINESSES OF DOMESTIC ISSUERS...

Notice of Assumption or Termination of Transfer Agent Services

Exemptive Relief and Simplification of Filing Requirements for Debt Securities to Be Listed On...

Amendments to Proxy Rules for Registered Investment Companies

Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices.

BD Rules & Regulatory Actions

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