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If your firm employs state-registered reps or is dually registered, changes to Form U4 and U5 could be important. By November, firms will have to ...
If your firm issues unregistered securities, it's probably familiar with Form D - which gives the SEC notice within 15 days of an initial sale. ...
Later this year, the first batch of public companies will use an Internet markup language specially created for financial reporting to file their required documents ...
No-Action Letter under Investment Company Act of 1940 – Section 34(b) Securities Act of 1933 – Section 5(b) Lindbergh Funds October 30, 2002 Response of ...
No-Action Letter under:Securities Act of 1933 – Section 5 Nationwide Life Insurance Company March 16, 2001 RESPONSE OF THE OFFICE OF INSURANCE PRODUCTS DIVISION OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 232, 240, and 249[Release Nos. 34-38800; IC-22731. File No. S7-18-97]RIN 3235-AG97Rulemaking for EDGAR SystemAGENCY:Securities and Exchange Commission.ACTION:Proposed rulesSUMMARY:The Securities ...