RCW Staff
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-47364; File No. S7-41-02]RIN 3235-AI19Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47571; File No. S7-07-03RIN 3235-AI78 Request for Comment on the NYSE Petition Relating to Participant Fee ...
No-Action Letter Under: Securities Exchange Act of 1934 – Rules 14a-8(i)(7) and (10) Tri-Continental Corporation March 25, 2003 Responses of the Office of Disclosure and ...
No-Action Letter under Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 Dougherty & Company LLC March 21, 2003 Response of the Office ...
No-Action Letter under Investment Company Act of 1940 — Section 17(f) and Rule 17f-4 Fixed Income Clearing Corporation March 13, 2003 Response of the Office ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to ...
March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...
Final Rule: Retention of Records Relevant to Audits and Reviews Securities and Exchange Commission 17 CFR Part 210 [Release Nos. 33-8180; 34-47241; IC-25911; FR-66; File ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 228, 229 and 249 [RELEASE NOS. 33-8177; 34-47235; ...