RCW Staff

Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-50486; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION: Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26591; File No. S7-09-04]RIN 3235-AJ07Prohibition on the Use of Brokerage Commissions to Finance DistributionAGENCY:Securities and Exchange Commission.ACTION:Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-50295; File No. S7-34-02]RIN 3235-AI61Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures ProductsAGENCY:Securities ...

Investment Adviser Act of 1940 – Rule 206(4)-3 Thomas Weisel Partners LLC September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...

Investment Advisers Act of 1940- Section 206(4) Rule 206(4)-3 Deutsche Bank Securities Inc. September 24, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279[Release No. IA-2266; File No. S7-30-04]RIN 3235-AJ25Registration Under the Advisers Act of Certain Hedge Fund AdvisersAGENCY:Securities and ...

Investment Advisors Act of 1940 – Rule 206(4)-6 Institutional Shareholder Services, Inc. September 15, 2004 Mari Anne Pisarri, Esq. Pickard and Djinis LLP 1990 M ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 248[Release Nos. 34-50361, IA-2293, IC-26596; File No. S7-33-04]RIN 3235-AJ24Disposal of Consumer Report Information AGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities ...