BD Rules & Regulatory Actions

The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet ...

Final Rule: Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-47013; File No. S7-18-02] RIN 3235-AI52 Repeal of the Trade-Through Disclosure Rules for Options AGENCY:Securities and ...

Final Rule: Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts SECURITIES AND EXCHANGE ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46920; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission ("Commission")ACTION:Proposed ...

Securities and Exchange Commission 17 CFR PARTS 210, 229, 240 and 249 [RELEASE NOS. 33-8128; 34-46464; FR-63; File No. S7-08-02] RIN 3235-AI33 Acceleration of Periodic ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 249, and 269 [Release Nos. 33-8099, 34-45922, International Series Release No. 1259; File No. ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46745; File No. S7-41-02] RIN 3235-AI19 Definition of Terms in and Specific Exemptions for Banks, Savings ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [Release No. 34-46667] Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46471; File No. S7-19-02]RIN 3235-AI50Confirmation Requirements for Transactions of Security Futures Products Effected in Futures AccountsAGENCY:Securities and ...