Broker-Dealers

Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7867; 34-42942; 35-27185; 39-2386; IC-24498] RIN 3235-AG96 Adoption ...

Final Rule:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts Rule SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 240 and 270 [Release ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release Nos. IC-24424, IS-1221; File No. S7-15-99] RIN 3235-AH55Custody of Investment Company Assets Outside the United States AGENCY:Securities ...

Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7858; 34-42789; 35-27177; 39-2385; IC-24455] RIN 3235-AG96 Adoption ...

Final Rule:Rulemaking for EDGAR System SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 230, 232, 239, 240, 249, 250, 259, 260, 269, 270, and ...

SECURITIES AND EXCHANGE COMMISSION[Release No. 34-42755; File No. 4-434]RIN 3235-AH92Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Proposed Amendments to National Market System Plan .SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-42741; File No. S7-12-00] RIN 3235-AH69Electronic Submission of Securities Trading Data by Exchange Members, Brokers and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 275, and 279[Release No. IA-1862; 34-42620; File No. S7-10-00]RIN 3235-AD21Electronic Filing by Investment Advisers; Proposed Amendments to Form ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 248[Release Nos. 34-42484, IC-24326, IA-1856; File No. S7-6-00]RIN 3235-AH90Privacy of Consumer Financial Information (Regulation S-P)AGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION [Release No. 34-42212; File No. 4-208] RIN 3235-AH49 Adoption of Amendments to the Intermarket Trading System Plan to Expand the ITS/Computer ...