SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-34753; File No. S7-28-94)RIN 3235-AG21Customer Limit OrdersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission proposes a ...
This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.
SECURITIES AND EXCHANGE COMMISSIONRelease No. 33-4552RIN 3235-AI80Nonpublic Offering ExemptionAGENCY:Securities and Exchange Commission.ACTION:Final RuleDATES:November 6, 1962 The Commission today announced the issuance of a statement regarding ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-AE14Disclosure Concerning Legal Proceedings Involving ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43084; File No. S7-16-00]RIN 3235-AH95Disclosure of Order Routing and Execution PracticesAGENCY:Disclosure of Order Routing and Execution PracticesACTION:Proposed ...