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 ...
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 240, 249 and 274 [RELEASE NO. 33-8183; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 [Release No. 34-44992A; File No. S7-26-98] RIN 3235-AH04 Books and Records Requirements for Brokers and Dealers Under the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTs 240 and 242 [Release No. 34-44992 ; File No. S7-26-98] RIN 3235-AH04Books and Records Requirements for Brokers and Dealers ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-47480; File No. S7-20-02]RIN 3235-AI51Customer Protection — Reserves and Custody of Securities Delegation of Authority ...