SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 240, and 249[Release No. 34-49505; File No. S7-18-04]RIN 3235-AJ20Proposed Rule Changes of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 230, 240, 242, and 249 [Release No. 34-49325; File No. S7-10-04]RIN 3235-AJ18Regulation NMSAGENCY:Securities and Exchange Commission.ACTION:Proposed rules and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-49259]Delegation of Authority to the Director of the Division of Market RegulationAGENCY:Securities and Exchange CommissionACTION: Final rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 239 and 274 [Release Nos. 33-8347; 34-48939; IC-26298; File No. S7-28-03] RIN 3235-AI95 DISCLOSURE OF BREAKPOINT DISCOUNTS BY MUTUAL ...
This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-48949; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission ("Commission").ACTION: Final rule.SUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-49104; File No. S7-05-04] Collection Practices under Section 31 of the Exchange ActAGENCY:Securities and ...
Securities and Exchange Commission 17 CFR Parts 228, 229, 240, 249, 270 and 274 [Release Nos. 33-8340; 34-48825; IC-26262; File No. S7-14-03] RIN 3235-AI90 Disclosure ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26288; File No. S7-27-03] RIN 3235-AJ01 Amendments to Rules Governing Pricing of Mutual Fund SharesAGENCY:Securities and ...
The Commission is adopting amendments to the custody rule under the Investment Advisers Act of 1940. The amendments modernize the rule by conforming the rule ...