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Proposed Rules
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 240 and 242[Release No. 34-48709; File No. S7-23-03] RIN 3235-AJ00Short SalesAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities and Exchange Commission ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48694; File No. S7-22-03]RIN 3235-AI97Supervised Investment Bank Holding CompaniesAGENCY:Securities and Exchange Commission (the "Commission").ACTION:Proposed rule.SUMMARY:The Commission is ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34-48690; File No. S7-21-03] RIN 3235-AI96 Alternative Net Capital Requirements for Broker-Dealers That Are Part ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46920; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission ("Commission")ACTION:Proposed ...
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46745; File No. S7-41-02] RIN 3235-AI19 Definition of Terms in and Specific Exemptions for Banks, Savings ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 249, 270 and 274 [Release Nos. 34-46441; IC-25723; File No. S7-33-02] RIN 3235-AI63 Segment ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed rule ...
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46014; File No. S7-19-02]RIN 3235-AI50Confirmation Requirements for Transactions of Security Futures Products Effected in Futures AccountsAGENCY:Securities and ...