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Proposed Rules
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249(Release No. 34-39704; File Nos. S7-30-97; S7-31-97; S7-32-97)RIN 3235-AH16, 3235-AG18, 3235-AH29OTC Derivatives Dealers, Net Capital RuleAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-39670; File No. S7-3-98RIN:Publication or Submission of Quotations Without Specified InformationAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-39455; File No. S7-31-97]RIN 3235-AG18NET CAPITAL RULEAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission ("Commission") is ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249[Release No. 34-39454; File No. S7-30-97]RIN 3235-AH16OTC Derivatives DealersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission ...
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 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230 and 239Release Nos. 33-7380; 34-38164; IC-22464; File No. S7-3-97International Series No.1044RIN: 3235-AG88Plain English DisclosureAGENCY:Securities and Exchange ...
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 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-37620 ; File No. S7-22-96]RIN 3235-AH00Proposed Amendment to Rule 11Ac1-1AGENCY:Securities and Exchange Commission.ACTION:Proposed Rulemaking.SUMMARY:The Securities and Exchange ...