SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, 274 and 275 [Release Nos. 33-7728, IC-23958, IA-1815; File No. S7-25-95] RIN 3235-AG27 Personal Investment Activities of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-41905; File No. S7-27-98] RIN 3235-AH48 Purchases of Certain Equity Securities by the Issuer and Others AGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 239, 249, 259, 269 and 274 [Release Nos. 33-7752; 34-41986; 35-27081; 39-2376; IC-24075] RIN 3235-AG96 Adoption of Updated ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-41661; File No. S7-8-99RIN 3235-AH61 YEAR 2000 OPERATIONAL CAPABILITY REQUIREMENTS FOR REGISTERED BROKER-DEALERS AND TRANSFER AGENTS ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 and 249 Release No. 34-41594; File No. S7-16-99 RIN 3235-AH73 Broker-Dealer Registration and Reporting AGENCY:Securities and Exchange Commission.ACTION: ...
The Securities and Exchange Commission ("Commission") is amending its rules to delegate its authority to the Director of the Division of Investment Management to cancel ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 270 and 274[Release No. IC-23786; File No. S7-31-98]RIN 3235-AG29Deregistration of Certain Registered Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION: Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-41356; File No. S7-17-96RIN 3235-AG69Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and ...