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 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-26520; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY: Securities and Exchange Commission. ACTION: ...
The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-8454; 34-50160; 35-27881; 39-2424; IC-26525] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual AGENCY: Securities ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-8442; File No. S7-17-04] RIN 3235-AJ03 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279[Release Nos. 34-50213; IA-2278; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment AdvisersAGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, and 249RIN 3235-AJ02[Release No. 34-49928; File No. S7-05-04]Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...