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 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-47013; File No. S7-18-02] RIN 3235-AI52 Repeal of the Trade-Through Disclosure Rules for Options AGENCY:Securities and ...
Final Rule: Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts SECURITIES AND EXCHANGE ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46920; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission ("Commission")ACTION:Proposed ...
Securities and Exchange Commission 17 CFR PARTS 210, 229, 240 and 249 [RELEASE NOS. 33-8128; 34-46464; FR-63; File No. S7-08-02] RIN 3235-AI33 Acceleration of Periodic ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 249, and 269 [Release Nos. 33-8099, 34-45922, International Series Release No. 1259; File No. ...