SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 275 and 279[Release Nos. 34-49639, IA-2232; File No. S7-20-04]RIN 3235-AI16Certain Thrift Institutions Deemed Not To Be Investment AdvisersAGENCY:Securities ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8409; 34-49580; 35-27836; 39-2419; IC-26420] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
Webmaster’s Note: See also Rel. No. 33-8410A Securities and Exchange Commission 17 CFR Parts 232, 239, 249, 259, 269 and 274 [Release Nos. 33-8410, 34-49585, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-49505; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 230, 240, 242, and 249 [Release No. 34-49325; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Proposed rules and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-49259]Delegation of Authority to the Director of the Division of Market RegulationAGENCY:Securities and Exchange CommissionACTION: Final rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-49104; File No. S7-05-04] Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...