Final Rule Releases Archives | Page 66 of 68 | Regulatory Compliance Watch

PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT

CPO/CTA Rules & Regulatory Actions

RCW Staff -

June 7 1995

Recordkeeping and Reporting Requirements For Trading Systems Operated by Brokers and Dealers

BD Rules & Regulatory Actions

RCW Staff -

June 1 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-35124; File No. S7-3-94RIN 3235-AG03Recordkeeping and Reporting Requirements For Trading Systems Operated by Brokers and ...

Payment for Order Flow

BD Rules & Regulatory Actions

RCW Staff -

April 3 1995

SECURITIES AND EXCHANGE COMMISSION(17 CFR Part 240)(Release No. 34-34902; File No. S7-29-93)RIN 3235-AG00Payment for Order FlowAGENCY:Securities and Exchange Commission.ACTION:Final Rule.SUMMARY:The Securities and Exchange Commission announces ...

Confirmation of Transactions

BD Rules & Regulatory Actions

RCW Staff -

April 3 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-34962; File No. S7-6-94RIN: 3235-AF84Confirmation of TransactionsAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission is adopting amendments ...

Establishment of Commission Quorum Requirement.

BD Rules & Regulatory Actions

RCW Staff -

March 30 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200Release No. 34-35548Establishment of Commission Quorum Requirement.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission ("Commission") is amending ...

Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales Loads

CPO/CTA Rules & Regulatory Actions

RCW Staff -

March 25 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-20916; File No. S7-24-88RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales LoadsAGENCY:Securities ...