Final Rule: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Securities and Exchange Commission 17 CFR Parts 239, 249, ...
Final Rule: Disclosure in Management’s Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations Securities And Exchange Commission 17 CFR Parts 228, 229 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 249 [RELEASE NO. 33-8183A; 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68, File No. S7-49-02] RIN 3235-AI73 STRENGTHENING THE COMMISSION’S REQUIREMENTS ...
Securities and Exchange CommissionRIN 3235-AH16 [Release No. IC-25934; File No. S7-22-01]RIN 3235-AG71Custody of Investment Company Assets with a Securities DepositoryAgencySecurities and Exchange Commission ("Commission").Action:Final rule..SUMMARY:The ...
Final Rule: Conditions for Use of Non-GAAP Financial Measures Securities and Exchange Commission 17 CFR PARTS 228, 229, 244 and 249 [Release No. 33-8176; 34-47226; ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to ...
Final Rule: Retention of Records Relevant to Audits and Reviews Securities and Exchange Commission 17 CFR Part 210 [Release Nos. 33-8180; 34-47241; IC-25911; FR-66; File ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 228, 229 and 249 [RELEASE NOS. 33-8177; 34-47235; ...
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.