BD Rules & Regulatory Actions

Registration Form for Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Life Insurance Policies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46014; File No. S7-19-02]RIN 3235-AI50Confirmation Requirements for Transactions of Security Futures Products Effected in Futures AccountsAGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-46002; File No. S7-18-02] RIN 3235-AI52 Repeal of Options Trade-Through Disclosure Rule AGENCY:Securities and Exchange Commission.ACTION:Proposed ...

SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 270 [Release No. IC-25560; File No. S7-20-00] RIN 3235-AH57 Exemption for the Acquisition of Securities During the Existence ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 200 [Release No. 34-45848] Delegation of Authority to the Secretary of the Commission AGENCY:Securities and Exchange Commission.ACTION:Final ruleSUMMARY:The Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45854; File No. S7-14-02] RIN 3235-AI49Assessments on Security Futures Transactions and Fees on Sales of Securities ...

Final Rule:Approved Information Collections SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 RELEASE NOS. 33-8071; 34-45601 35-27505; 39-2396; IC-25471; and IA-2021 Approved Information Collections AGENCY: ...

Temporary Final Rule and Final Rule:Requirements for Arthur Andersen LLP Auditing Clients SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 210, 228, 229, 230, 240, 249 ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-45371] Exemption of Transactions in Certain Options and Futures on Security Indexes from Section 31 of ...

Final Rule: Options Disclosure Document SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 230 [RELEASE NO. 33-8049; File No. S7-19-98] RIN 3235-AH31 OPTIONS DISCLOSURE DOCUMENT Agency: ...