BD Rules & Regulatory Actions Archives | Page 276 of 313

INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS OF NON-ACCELERATED FILERS AND...

Final Rule Releases

RCW Staff -

December 15 2006

Amendments to Regulation SHO and Rule 10a-1

Advisory Agreements

RCW Staff -

December 7 2006

Delegation of Authority to Chief Administrative Law Judg

Final Rule Releases

RCW Staff -

December 4 2006

ELECTRONIC FILING OF TRANSFER AGENT FORMS

Final Rule Releases

RCW Staff -

December 4 2006

COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ACT OF 1933

Advisory Agreements

RCW Staff -

November 16 2006

AMENDMENTS TO THE TENDER OFFER BEST-PRICE RULES

Final Rule Releases

RCW Staff -

November 1 2006

Definition of Eligible Portfolio Company under the Investment Company Act of 1940

Final Rule Releases

RCW Staff -

October 25 2006

Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities...

Commodity Futures Trading Commission (CFTC)

RCW Staff -

August 14 2006

COMMODITY FUTURES TRADING COMMISSION17 CFR Part 41RIN 3038 AB86SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-54106; File No. S7-07-06]RIN 3235-AJ54Joint Final Rules: Application of ...

Fund of Funds Investments

Forms

RCW Staff -

July 31 2006

Amendments to Plan of Organization and Operation Effective During Emergency Conditions

SEC Operations

RCW Staff -

June 9 2006

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200Release No. 34-53937RIN 3235-AJ56File No. S7-10-06Amendments to Plan of Organization and Operation Effective During Emergency ConditionsAGENCY:Securities and Exchange Commission.ACTION:Final ...

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BD Rules & Regulatory Actions

Daily Computation of Customer and Broker-Dealer Reserve Requirements under the B-D Customer Protection Rule

Lack of necessary SARs costs B-D $75K

B-D agrees to pay $75k for failing to file SARs

Failure to report SARs costs B-D $125k

Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders

INTERNAL CONTROL OVER FINANCIAL REPORTING IN EXCHANGE ACT PERIODIC REPORTS OF NON-ACCELERATED FILERS AND...

Amendments to Regulation SHO and Rule 10a-1

Delegation of Authority to Chief Administrative Law Judg

ELECTRONIC FILING OF TRANSFER AGENT FORMS

COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ACT OF 1933

AMENDMENTS TO THE TENDER OFFER BEST-PRICE RULES

Definition of Eligible Portfolio Company under the Investment Company Act of 1940

Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities...

Fund of Funds Investments

Amendments to Plan of Organization and Operation Effective During Emergency Conditions

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BD Rules & Regulatory Actions

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