SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200Release No. 34-53937RIN 3235-AJ56File No. S7-10-06Amendments to Plan of Organization and Operation Effective During Emergency ConditionsAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 242[Release No. 34-53829; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance dates.SUMMARY:The Commission is extending the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-53755DESCRIPTION OF DUTIES OF THE GENERAL COUNSELAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and Exchange Commission (Commission) is ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-52407; IA-2426; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance DateAGENCY:Securities ...
The Securities and Exchange Commission ("Commission" or "SEC") is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act"). Form ...
COMMODITY FUTURES TRADING COMMISSION17 CFR PART 241RIN 3038 AB86SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-53560; File No. S7-07-06]RIN 3235-AJ54Joint Proposed Rules: Application of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 229 and 230[RELEASE NOS. 33-8591A; 34-52056A; IC-26993A; FR-75AINTERNATIONAL SERIES RELEASE NO. 1294A]FILE NO. S7-38-04RIN 3235-AI11SECURITIES OFFERING REFORM; CORRECTIONAGENCY:Securities and ...