RCW Staff
Deloitte & Touche LLP: No-Action letter dated August 28, 2006 Investment Advisers Act of 1940 Section 206(4) and Rule 206(4)-2 August 28, 2006 RESPONSE OF ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 270[Release No. IC-27395; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Request for additional commentSUMMARY:On April 7, 2006, a ...
COMMODITY FUTURES TRADING COMMISSION17 CFR Part 41RIN 3038 AB86SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-54106; File No. S7-07-06]RIN 3235-AJ54Joint Final Rules: Application of ...
This is 2006 Commission guidance around soft dollars, best execution and brokerage relationships.