Broker-Dealers

The Commission is adopting a new rule and form under the Investment Advisers Act of 1940 that requires most registered investment advisers to file with ...
Final Rule: Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 (Release ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 201[Release No. 34-40364; File No. S7-23-98]Rules of PracticeAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission is proposing for ...
The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163A; File No. S7-8-98) RIN 3235-AH42 Year 2000 Readiness Reports to be made by certain transfer ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163; File No. S7-8-98)RIN 3235-AH42Year 2000 Readiness Reports To Be Made by Certain Transfer AgentsAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-40162; File No. S7-7-98)RIN 3235-AH36Reports To Be Made by Certain Brokers and DealersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...
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