RCW Staff

In the last several years, NFA has encountered several instances where brokers, who have been barred from NFA membership as a result of an NFA ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26985; File No. S7-03-04]RIN 3235-AJ05Investment Company GovernanceAGENCY:Securities and Exchange Commission.ACTION:Commission Response to Remand by Court of Appeals.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 232[Release Nos. 33-8573; 34-51710; 35-27970; 39-2436; IC-26872]RIN 3235-AG96Adoption of Updated EDGAR Filer ManualAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26782; File No. S7-11-04]RIN 3235-AJ17Mutual Fund Redemption FeesAGENCY:Securities and Exchange Commission.ACTION:Final rule; request for additional comment.SUMMARY:The Securities ...

Investment Company Act of 1940 – Section 7 and 3(a)(1) Royal Dutch Shell PLC May 17, 2005 Response of the Office of International Corporate Finance ...

Investment Advisers Act of 1940 – Section 206(4) and Rule 206(4)-2(a)(1) American Skandia Life Assurance Corporation May 16, 2005 RESPONSE OF THE OFFICE OF CHIEF ...

Investment Company Act of 1940 – Sections 12(d)(1)(A) and 12(d)(1)(B) Principal Investors Fund Inc. May 13, 2005 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

The Securities and Exchange Commission is adopting a rule addressing the application of the Investment Advisers Act of 1940 to broker-dealers offering certain types of ...