Home CPO/CTAs Page 376


This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.
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] ...

Copyright PEI Media

Not for publication, email or dissemination