SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-48690; File No. S7-21-03] RIN 3235-AI96 Alternative Net Capital Requirements for Broker-Dealers That Are Part ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48272; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255A; 34-48204A; 35-27700A; 39-2409A; IC-26103A] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26077; File No. S7-47-02]RIN 3235-AI57Certain Research and Development CompaniesAGENCY:Securities and Exchange Commission ("Commission").ACTION:Final rule.SUMMARY:The Commission is adopting ...
Final Rule: Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports SECURITIES AND EXCHANGE COMMISSION 17 CFR ...
Final Rule: Implementation of Standards of Professional Conduct for Attorneys Securities and Exchange Commission 17 CFR Part 205 [Release Nos. 33-8185; 34-47276; IC-25919; File No. ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255; 34-48204; 35-27700; 39-2409; IC-26013] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279 [Release Nos. 34-48167; IA-2144; File No. S7-10-00] Electronic Filing by Investment Advisers; Amendments to Form ADV; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-47752, File No. S7-25-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN 1506-AA32 Customer Identification Programs For Broker-Dealers AGENCY:Financial ...