RCW Staff
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-37619A ; File No. S7-30-95]RIN 3235-AG66 Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final RulesSUMMARY:The Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-38110; File No. S7-30-95RIN 3235-AG66Order Execution ObligationsAGENCY:Securities and Exchange Commission.ACTION:Final Rule; Revised Effective Date; Revised Compliance DatesSUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 270Release No. 34-38073, IC-22415, File No. S7-32-96RIN 3235-AH10Securities Transactions Exempt from Transaction Fees.AGENCY:Securities and Exchange Commission.ACTION: Final ...
The Commission is staying a rule and a provision in a rule under the Investment Advisers Act of 1940 that require the filing of Form ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279Release No. IA-1601, File No. S7-31-96RIN 3235-AH07Rules Implementing Amendments to the Investment Advisers Act of 1940AGENCY:Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release Nos. 33-7376; 34-38068; IC-22413; File No. S7-12-96RIN 3235-AG78Odd-lot Tender Offers by IssuersAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-22405, International Series Release No. 1037, File No. S7-30-96RIN 3235-AH09Private Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION:Proposed rulesSUMMARY:The Commission ...
Because "up front" fees and charges can have a significant impact on the net opening equity of pools and managed accounts, the above NFA rule ...