RCW Staff, Author at Regulatory Compliance Watch

Expansion of Short-Form Registration to Include Companies with Non-voting Common Equity.

CPO/CTA Rules & Regulatory Actions

RCW Staff -

June 7 1997

Investment Company Names

RCW Staff -

May 27 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release No. IC-22530; File No. S7-11-97]RIN: 3235-AH11Investment Company NamesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission is proposing ...

Custody of Investment Company Assets Outside the United States; Extension of Compliance Date

PF Rules & Regulatory Actions

RCW Staff -

May 16 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270(Release Nos. IC-23814, IS-1193; File No. S7-23-95)RIN 3235-AE98Custody of Investment Company Assets Outside the United States; Extension of Compliance ...

Definition of ‘prepared by or on behalf of the issuer’ for purposes of determining...

CPO/CTA Rules & Regulatory Actions

RCW Staff -

May 6 1997

Revision of Holding Period Requirements in Rules 144 and 145

PF Rules & Regulatory Actions

RCW Staff -

April 21 1997

IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT OF 1934

Broker-Dealers

RCW Staff -

April 11 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-38387; IC-22553; FR-49; File No. S7-20-96].RIN 3235-AG7IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT ...

Order Execution Obligations

Broker-Dealers

RCW Staff -

April 10 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-38139; File No. S7-30-95RIN 3235-AG66Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final Rule; Revised Effective Date; Revised Compliance ...

REPORTING REQUIREMENTS FOR BROKERS OR DEALERS UNDER THE SECURITIES EXCHANGE ACT OF 1934

Broker-Dealers

RCW Staff -

April 5 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-38245; File No. S7-21-93]RIN 3235-AF91REPORTING REQUIREMENTS FOR BROKERS OR DEALERS UNDER THE SECURITIES EXCHANGE ACT OF ...