SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-51983; File No. S7-02-04]RIN 3235-AI02Amendments to the Penny Stock RulesAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-51808A; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; correcting amendment.SUMMARY:The Securities and Exchange Commission published ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242[Release No. 34-52355; File No. S7-10-04]Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension of compliance date.SUMMARY:The Commission is extending the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8573; 34-51710; 35-27970; 39-2436; IC-26872]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26782; File No. S7-11-04]RIN 3235-AJ17Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Final rule; request for additional comment.SUMMARY:The Securities ...
The Securities and Exchange Commission is adopting a rule addressing the application of the Investment Advisers Act of 1940 to broker-dealers offering certain types of ...