RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200(Release No. 34-37893)Delegation of Authority to the General CounselAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission is ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-37850; File No. S7-27-96]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...

This is the 1996 law passed by Congress called the National Securities Markets Improvement Act or NSMIA.

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 228, 229 AND 249RELEASE NO. 34-37801; INTERNATIONAL SERIES NO. 1020 FILE NO. S7-19-95RIN 3235-AG47PERIODIC REPORTING OF UNREGISTERED EQUITY SALESAGENCY:Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 239 and 270Release No. IC-22201; File No. S7-2-96RIN 3235-AG59Technical Amendments to Rule Relating to Payments for the Distribution ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239, 270, and 274Release Nos. 33-7328; IC-22202; File No. S7-8-95RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose ...

This 1996 no-action letter from the SEC to Horizon Asset Management goes into the ability of firms to use a previous owner's performance data in ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-22203; File No. S7-24-96]RIN 3235-AG72Rule Amendments Relating to Multiple Class and Series Investment CompaniesAGENCY:Securities and Exchange ...