RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200 [Release No. 34-44397] Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 [Release No. 34-44227; File No. S7-17-99]RIN 3235-AH74 Recordkeeping Requirements for Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Final ruleSUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 270 and 275 [Release Nos. IC-24991 and IA-1945; File No. S7-06-01] RIN 3235-AI05 Electronic Recordkeeping by Investment Companies ...
No-Action Letter under: Investment Company Act of 1940 – Section 3(c)(1), 3(c)(7) H.E.B. Investment & Retirement Plan H.E. Butt Grocery Company May 18, 2001 RESPONSE ...
Definition of Terms in and Specific Exemptions for Banks, Savings Associations, and Savings Banks...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240 Release No. 34-44291; File No. S7-12-01RIN 3235-AI19 Definition of Terms in and Specific Exemptions for Banks, ...
COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038-AB77 SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44288; File No. S7-11-01] RIN 3235-AI13 ...
Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic...
SEC Interpretation:Commission Guidance to Broker-Dealers on the Use of Electronic Storage Media under the Electronic Signatures in Global and National Commerce Act of 2000 with ...
No-Action Letter under: Investment Company Act – Sections 6(c), 11(a), 11(c), 12(d)(1)(J), 17(b) Investec Ernst & Company April 24, 2001 RESPONSE OF THE OFFICE OF ...
No-Action Letter under: Investment Company Act of 1940 — Section 6(c) Prudential Investment Management Services LLC Response of the Division of Investment Management SECURITIES AND ...
Final Rule: Disclosure of Mutual Fund After-Tax Returns; Extension of Compliance Date 17 CFR Parts 230, 239, 270, and 274 [Release Nos. 33-8010; 34-44850; IC-25175; ...