RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240, 242 and 249[Release No. 34-41297; File No. S7-12-98]RIN 3235-AH41Regulation of Alternative Trading Systems; Technical AmendmentAGENCY:Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[RELEASE NOS. 34-41288; FOIA-190; and PA- 27] FILE NO. S7-14-99RIN: 3235-AH71AMENDMENTS TO THE COMMISSION'S FREEDOM OF INFORMATION ACT, PRIVACY ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-41261; File No. S7-5-99RIN: 3235-AH40Publication or Submission of Quotations Without Specified InformationAGENCY:Securities and Exchange Commission.ACTION:Reproposed rule; extension ...

Final Rule: Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-7645; File No. S7-5-98] ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-41116, International Series Release No. 1186, File No. S7-15-98 RIN 3235-AH46 Exemption of the Securities of the ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 Release No. 34-41110; File No. S7-5-99 RIN: 3235-AH40 Publication or Submission of Quotations Without Specified Information AGENCY:Securities and ...

This is an SEC no-action letter released in 1999 prompted by Goldman Sachs Asset Management. The letter concerns application of Advisers Act section 206(3). It ...