Final Rule: Conditions for Use of Non-GAAP Financial Measures Securities and Exchange Commission 17 CFR PARTS 228, 229, 244 and 249 [Release No. 33-8176; 34-47226; ...
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-47364; File No. S7-41-02]RIN 3235-AI19Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to ...
Final Rule: Retention of Records Relevant to Audits and Reviews Securities and Exchange Commission 17 CFR Part 210 [Release Nos. 33-8180; 34-47241; IC-25911; FR-66; File ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 228, 229 and 249 [RELEASE NOS. 33-8177; 34-47235; ...
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 245 and 249[RELEASE NO. 34-47225; IC-25909; File No. S7-44-02]RIN 3235-AI71Insider Trades During Pension Fund Blackout PeriodsAGENCY:Securities and Exchange ...
The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet ...
Final Rule: Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of ...