SECURITIES AND EXCHANGE COMMISSION17 CFR Part 248[Release Nos. 34-50781, IA-2332, IC-26685; File No. S7-33-04]RIN 3235-AJ24Disposal of Consumer Report InformationAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50979; IA-2339; File No. S7-25-99] RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Adoption ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-50980; IA-2340; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-50486; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION: Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-50295; File No. S7-34-02]RIN 3235-AI61Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures ProductsAGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 248[Release Nos. 34-50361, IA-2293, IC-26596; File No. S7-33-04]RIN 3235-AJ24Disposal of Consumer Report Information AGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240, 241 and 242[Release No. 34-50103; File No. S7-23-03] RIN 3235-AJ00SHORT SALESAGENCY:Securities and Exchange Commission.ACTION:Final rule; Interpretation.SUMMARY:The Securities and ...