CPO/CTA Rules & Regulatory Actions

SECURITIES AND EXCHANGE COMMISSIONRelease No. 33-4552RIN 3235-AI80Nonpublic Offering ExemptionAGENCY:Securities and Exchange Commission.ACTION:Final RuleDATES:November 6, 1962 The Commission today announced the issuance of a statement regarding ...
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:Technical Amendments to Instructions for Registration Form for Certain Investment Company Securities SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 [Release Nos. 33-7959; IC-24886] ...
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