RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-26077; File No. S7-47-02]RIN 3235-AI57Certain Research and Development CompaniesAGENCY:Securities and Exchange Commission ("Commission").ACTION:Final rule.SUMMARY:The Commission is adopting ...
Final Rule: Management’s Report on Internal Control over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports SECURITIES AND EXCHANGE COMMISSION 17 CFR ...
Final Rule: Implementation of Standards of Professional Conduct for Attorneys Securities and Exchange Commission 17 CFR Part 205 [Release Nos. 33-8185; 34-47276; IC-25919; File No. ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255; 34-48204; 35-27700; 39-2409; IC-26013] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279 [Release Nos. 34-48167; IA-2144; File No. S7-10-00] Electronic Filing by Investment Advisers; Amendments to Form ADV; ...
No-Action Letter under Investment Advisors Act of 1940 — Section 206(4) and Rule 206(4)-3 Dougherty & Company LCC, Mr. Thomas Abood July 3, 2003 Response ...
This Statement replaces the Commission's prescriptive ethics training rule and allows flexibility in the format, frequency and providers of ethics training, permitting each firm to ...
Since the events of September 11, 2001, the financial services industry has devoted increased attention to issues relating to disaster recovery plans. NFA's Board of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...
No-Action Letter under Investment Company Act of 1940 — Section 7 and 3( c )(10) Mercy Investment Program, Inc. June 12, 2003 Response of the ...