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Concept Release: Securities Transactions Settlement SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 240 [RELEASE NO. 33-8398; 34-49405; IC-26384; FILE NO. S7-13-04] RIN 3235-AJ19 AGENCY: Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26323; File No. S7-03-04] RIN 3235-AJ05 Investment Company Governance AGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and ...

Investment Advisers Act of 1940 – Rule 206(4)-1(b) Investment Counsel Association of America, Inc. Investment Counsel Association of America, Inc. March 1, 2004 Karen L. ...

This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 230, 240, 242, and 249 [Release No. 34-49325; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Proposed rules and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-49259]Delegation of Authority to the Director of the Division of Market RegulationAGENCY:Securities and Exchange CommissionACTION: Final rule.SUMMARY:The ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...

This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...