Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. October 31, 2003 RESPONSE OF THE ...
Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-3 UBS Securities LLC (f/k/a UBS Warburg LLC) October 31, 2003 RESPONSE OF THE OFFICE OF ...
Investment Advisers Act of 1940 – Rule 206(4)-3 James DeYoung October 24, 2003 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Our Ref. No. 200385177Mr. James ...
Investment Company Act of 1940 Sections 6�, 17(b), 12(d)(i)(j) and Rule 17d-1 MTB Group of Funds October 21, 2003 RESPONSE OF THE OFFICE OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-48545; File No. S7-17-03Business Continuity Planning for Trading MarketsAGENCY:Securities and Exchange Commission.ACTION:Policy statement; request for comment.SUMMARY:The Securities and Exchange Commission ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255A; 34-48204A; 35-27700A; 39-2409A; IC-26103A] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26077; File No. S7-47-02]RIN 3235-AI57Certain Research and Development CompaniesAGENCY:Securities and Exchange Commission ("Commission").ACTION:Final rule.SUMMARY:The Commission is adopting ...
Final Rule: Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports SECURITIES AND EXCHANGE COMMISSION 17 CFR ...
Final Rule: Implementation of Standards of Professional Conduct for Attorneys Securities and Exchange Commission 17 CFR Part 205 [Release Nos. 33-8185; 34-47276; IC-25919; File No. ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255; 34-48204; 35-27700; 39-2409; IC-26013] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...