The Securities and Exchange Commission ("Commission") is amending its rules to delegate its authority to the Director of the Division of Investment Management to cancel ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 270 and 274[Release No. IC-23786; File No. S7-31-98]RIN 3235-AG29Deregistration of Certain Registered Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION: Final ...
The Securities and Exchange Commission ("Commission") is adopting a new rule and form amendments under the Investment Advisers Act of 1940 for investment advisers that ...
Final Rule: Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-7645; File No. S7-5-98] ...
This is an SEC no-action letter released in 1999 prompted by Goldman Sachs Asset Management. The letter concerns application of Advisers Act section 206(3). It ...
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...