RCW Staff

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-37620 ; File No. S7-22-96]RIN 3235-AH00Proposed Amendment to Rule 11Ac1-1AGENCY:Securities and Exchange Commission.ACTION:Proposed Rulemaking.SUMMARY:The Securities and Exchange ...

This guidance spells out the NFA's views on the use of hypothetical performance results.

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210 and 240[Release No. 34-37594; IC-22162; File No. S7-20-96].RIN 3235-AG70IMPLEMENTATION OF SECTION 10A OF THE SECURITIES EXCHANGE ACT OF ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 249Release No. 34-37632; File No. S7-2-95RIN 3235-AG25Form BD AmendmentsAGENCY:Securities and Exchange Commission.ACTION:Final Rule: Suspension of Compliance Date for Form ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 240 and 249[Release Nos. 34-37260; 35-26524; IC-21997; File No. S7-21-94]RIN 3235-AH94 RIN 3235-AF66Ownership Reports and Trading by ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 249Release No. 34-37431; File No. S7-2-95RIN 3235-AG25Form BD Amendments AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and Exchange Commission ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-37432; File No. S7-17-96RIN 3235-AG69Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange ...

NFA Compliance Rule 2-29(a)(2) prohibits the use of "high-pressure sales practices." The rule itself does not define "high-pressure sales practices." However, there have been a ...