RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 232, 240, and 249 (Release Nos. 34-40934; IC-23640. File No. S7-18-97) RIN 3235-AG97 Rulemaking for EDGAR System AGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION(Release No. 34-40761; File No. S7-13-98) RIN 3235-AH39 Amendment To Rule Filing Requirements For Self-Regulatory Organizations Regarding New Derivative Securities Products. AGENCY:Securities ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279(Release No. IA-1787; File No. S7-2-99)RIN 3235-AH60Transition Rule for Ohio Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities ...
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 200, 240, 249 [Release No. 34-40594A; File No. S7-30-97] RIN 3235-AH16 OTC Derivatives Dealers; Correction AGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 240, 249 (Release No. 34-40594; File No. S7-30-97)RIN 3235-AH16 OTC Derivatives DealersAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40608; FR-53; File No. S7-7-98) RIN 3235-AH36 Reports to be Made by Certain Brokers and Dealers ...
This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.