Broker-Dealers

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249[Release No. 34-37157 ; File No. S7-16-95]RIN 3235-AG48Relief from Reporting by Small IssuersAGENCY:Securities and Exchange Commission.ACTION:Final rules.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200Release No. 34-36824Delegation of Authority to the Secretary of the CommissionAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission is amending ...
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-36548; File No. SR-NASD-95-42DATES: December 1, 1995Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-36530, International Series Release No. 893, File No. S7-26-95RIN 3235-AG65Exemption of the Securities of the United ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 200, 201, 202, 203, 209, 228, 229, 230, 232, 240, 250, 260, 270 and 275[Release No. 34-37022; File No. ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 200, 201, 202, 203, 209, 228, 229, 230, 232, 240, 250, 260, 270 and 275[Release No. 34-35833; File No. ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-35124; File No. S7-3-94RIN 3235-AG03Recordkeeping and Reporting Requirements For Trading Systems Operated by Brokers and ...
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