SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-8442; File No. S7-17-04] RIN 3235-AJ03 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ...
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8408; IC-26418; File No. S7-26-03] RIN 3235-AI99 Disclosure Regarding Market Timing and Selective ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8409; 34-49580; 35-27836; 39-2419; IC-26420] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
Webmaster’s Note: See also Rel. No. 33-8410A Securities and Exchange Commission 17 CFR Parts 232, 239, 249, 259, 269 and 274 [Release Nos. 33-8410, 34-49585, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...