RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 202Release No. 34-53638RIN 3235-AJ55Policy Statement Concerning Subpoenas to Members of the News MediaAGENCY:Securities and Exchange Commission.ACTION:Policy Statement.SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 275[Release Nos. 34-52407; IA-2426; File No. S7-25-99]RIN 3235-AH78Certain Broker-Dealers Deemed Not To Be Investment Advisers, Extension of Compliance DateAGENCY:Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 270[RELEASE NOS. IC-27255; File No. S7-06-06; File No. 4-512]RIN 3235-AJ51Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Proposed RuleSUMMARY:The Securities and ...

The Securities and Exchange Commission ("Commission" or "SEC") is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act"). Form ...

Ameriprise Financial Services, Inc.: No-Action letter dated August 31, 2005 Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-3 Ameriprise Financial Services Inc. ...