RCW Staff
SECURITIES AND EXCHANGE COMMISSION117 CFR Part 240 [Release No. 34-46019, File No. S7-20-02] RIN 3235-AI51 Customer Protection - Reserves and Custody of Securities AGENCY:Securities and ...
Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts ...
Confirmation Requirements for Transactions of Security Futures Products Effected in Futures Accounts
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46014; File No. S7-19-02]RIN 3235-AI50Confirmation Requirements for Transactions of Security Futures Products Effected in Futures AccountsAGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46002; File No. S7-18-02] RIN 3235-AI52 Repeal of Options Trade-Through Disclosure Rule AGENCY:Securities and Exchange Commission.ACTION:Proposed ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-25560; File No. S7-20-00] RIN 3235-AH57 Exemption for the Acquisition of Securities During the Existence ...
No-Action Letter under: Investment Company Act – Rule 2a-7 Merrill Lynch Investment Managers May 10, 2002 Response of the Office Of Chief Counsel Division of ...
No-Action Letter under Investment Company Act – Section 17(d), Rule 17d-1 Mutual Fund Directors Forum May 9, 2002 Mutual Fund Directors RESPONSE OF THE OFFICE ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200 [Release No. 34-45848] Delegation of Authority to the Secretary of the Commission AGENCY:Securities and Exchange Commission.ACTION:Final ruleSUMMARY:The Securities ...
FEDERAL RESERVE SYSTEM Docket No. R-1122SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-45879; File No. S7-15-02RIN 3235-AI48 Interagency White Paper on Structural Change in the Settlement of ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45854; File No. S7-14-02] RIN 3235-AI49Assessments on Security Futures Transactions and Fees on Sales of Securities ...