SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-43860; File No. S7-03-01] RIN 3235-AI06 Proposed Rule Changes of Self-Regulatory Organizations AGENCY:Securities and ...
Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7933; 34-43843; 35-27338; 39-2388; IC-24827] RIN 3235-AG96 Adoption ...
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-43621; File No. 4-434RIN 3235-AH92 Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Adoption of amendments to national market system plan SUMMARY:The ...
The Commission is making technical revisions to Forms ADV, ADV-W, ADV-H, ADV-NR and related rules under the Investment Advisers Act of 1940 ("Advisers Act"). These ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [Rel. No. 34-43985]Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange Commission.ACTION:Final ...
Final Rule: Delivery of Proxy Statements and Information Statements to Households SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 240 [Release Nos. 33-7912, 34-43487, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 242 Release No. 34-42603A; File No. S7-12-98] RIN 3235-AH41 Regulation of Alternative Trading Systems; Temporary Stay of Effectiveness AGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-44078; File No. S7-17-00 RIN 3235-AH96 Firm Quote and Trade-Through Disclosure Rules for Options AGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-44852; File No. S7-17-00]RIN 3235-AH96Firm Quote and Trade-Through Disclosure Rules for OptionsAGENCY:Securities and Exchange Commission.ACTION:Final rule; extension ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43461, File No. S7-18-98]RIN 3235-AH30Amendments to Rule 9b-1 under the Securities Exchange Act of 1934 Relating to ...