Broker-Dealers

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242 [Release No. 34-43651; File No. S7-12-98] RIN 3235-AH41 Regulation of Alternative Trading Systems; Extension of Temporary Stay of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 204[Release No. 34-44965]RIN 3235-AI34Debt Collection — Amendments to Collection Rules and Adoption of Wage Garnishment RulesAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8007; 34-44834; 35-27443; 39-2393; IC-25168]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final ruleSUMMARY:The Securities and ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR PARTS 1, 41 and 190 RIN 3038-AB76 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44854; File No. ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB71 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242 [Release No. 34-44853; File No. S7-16-01] RIN 3235-A122Customer ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240, 248, and 249 [Release No. 34-44730; File No. S7-13-01] RIN 3235-AI21 Registration of Broker-Dealers Pursuant to Section 15(b)(11) ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB86 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44743; File No. S7-15-01] RIN 3235-AI24 ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB77 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-44724; File No. S7-11-01] RIN 3235-AI13 Method ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [Release No. 34-44691]Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange Commission.ACTION:Final ...
Final Rule: Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7999; 34-44660; 35-27430; 39-2391; IC-25102] RIN 3235-AG96 ...
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