Investment Advisers

Final Rule:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts Rule SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 240 and 270 [Release ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release Nos. IC-24424, IS-1221; File No. S7-15-99] RIN 3235-AH55Custody of Investment Company Assets Outside the United States AGENCY:Securities ...
Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7858; 34-42789; 35-27177; 39-2385; IC-24455] RIN 3235-AG96 Adoption ...
Final Rule:Rulemaking for EDGAR System SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 228, 229, 230, 232, 239, 240, 249, 250, 259, 260, 269, 270, and ...
SEC Interpretation: Use of Electronic Media SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 231, 241 and 271 [Release Nos. 33-7856, 34-42728, IC-24426; File No. S7-11-00] ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 248[Release Nos. 34-42484, IC-24326, IA-1856; File No. S7-6-00]RIN 3235-AH90Privacy of Consumer Financial Information (Regulation S-P)AGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The ...
Final Rule: Cross-Border Tender and Exchange Offers, Business Combinations and Rights Offerings Securities and Exchange Commission 17 CFR Parts 200, 230, 239, 240, 249 and ...
Final Rule: Regulation of Takeovers and Security Holder Communications SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 229, 230, 232, 239, and 240 Release No. ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release Nos. IC-24177, IA-1846; File No. S7-22-98] RIN 3235-AH02 Temporary Exemption for Certain Investment Advisers AGENCY:Securities and Exchange ...
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 ...
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