SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-48036; File No. S7-13-03]RIN 3235-AI87Recordkeeping Requirements for Registered Transfer AgentsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The U.S. Securities and ...
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-47752, File No. S7-25-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN 1506-AA32 Customer Identification Programs For Broker-Dealers AGENCY:Financial ...
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 240, 249 and 274 [RELEASE NO. 33-8183; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 [Release No. 34-44992A; File No. S7-26-98] RIN 3235-AH04 Books and Records Requirements for Brokers and Dealers Under the ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PARTs 240 and 242 [Release No. 34-44992 ; File No. S7-26-98] RIN 3235-AH04Books and Records Requirements for Brokers and Dealers ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200 and 240[Release No. 34-47480; File No. S7-20-02]RIN 3235-AI51Customer Protection — Reserves and Custody of Securities Delegation of Authority ...
Securities and Exchange Commission 17 CFR PART 242 [Release Nos. 33-8193; 34-47384; File No. S7-30-02] RIN 3235-AI60 Regulation Analyst Certification Agency: Securities and Exchange Commission. ...
Final Rule: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Securities and Exchange Commission 17 CFR Parts 239, 249, ...
Final Rule: Disclosure in Management’s Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations Securities And Exchange Commission 17 CFR Parts 228, 229 ...