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This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
Updated as of: January 23, 2003 Staff Responses to Questions about Regulation S-P The staff of the Division of Investment Management has prepared the following ...
No-Action Letter under: Investment Company Act of 1940 – Section 17j and Rule 17j-1 Investment Advisers Act of 1940 – Section 204 and Rule 204-2 ...
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic...
SEC Interpretation:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-41261; File No. S7-5-99RIN: 3235-AH40Publication or Submission of Quotations Without Specified InformationAGENCY:Securities and Exchange Commission.ACTION:Reproposed rule; extension ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-37850; File No. S7-27-96]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...