Proposed Rules

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-37594; IC-22162; File No. S7-20-96].RIN 3235-AG70IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-37432; File No. S7-17-96RIN 3235-AG69Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-36548; File No. SR-NASD-95-42DATES: December 1, 1995Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by National Association of Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-35323; File No. S7-4-95RIN 3235-AG28Unlisted Trading PrivilegesAGENCY:Securities and Exchange Commission.ACTION:Proposed rulemakingSUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION(17 CFR Part 240)(Release No. 34-34903; File No. S7-30-94).RIN 3235-AG00Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices.AGENCY:Securities and Exchange Commission.ACTION:Proposed ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-34753; File No. S7-28-94)RIN 3235-AG21Customer Limit OrdersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission proposes a ...

This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-AE14Disclosure Concerning Legal Proceedings Involving ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43084; File No. S7-16-00]RIN 3235-AH95Disclosure of Order Routing and Execution PracticesAGENCY:Disclosure of Order Routing and Execution PracticesACTION:Proposed ...