SECURITIES AND EXCHANGE COMMISSION17 CFR PART 232[Release Nos. 33-8612; 34-52477; 35-28033; 39-2439; IC-27070]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8573; 34-51710; 35-27970; 39-2436; IC-26872]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26782; File No. S7-11-04]RIN 3235-AJ17Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Final rule; request for additional comment.SUMMARY:The Securities ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-8530; 34-51136; IA-2348; IC-26748] Adjustments to Civil Monetary Penalty Amounts AGENCY: Securities and Exchange Commission. ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940. The new rule and amendments require advisers to ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-26520; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY: Securities and Exchange Commission. ACTION: ...
The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-8454; 34-50160; 35-27881; 39-2424; IC-26525] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual AGENCY: Securities ...