SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, 274 and 275 [Release Nos. 33-7728, IC-23958, IA-1815; File No. S7-25-95] RIN 3235-AG27 Personal Investment Activities of ...
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] ...
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, ...