The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...
Final Rule: Registration Form Used by Open-End Management Investment Companies SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 232, 239, 240, 270, and 274 Release ...
Final Rule: Amendment to Rule 102(e) of the Commission’s Rules of Practice SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 (Release Nos. 33-7593; 34-40567; 35-26929; ...
The Commission is adopting a new rule and form under the Investment Advisers Act of 1940 that requires most registered investment advisers to file with ...
Final Rule: Update of Registration Form to Reflect Fee Rate Change for Registration of Certain Investment SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 274 (Release ...
NFA Compliance Rule 2-29 prohibits the use of promotional material which is misleading or deceptive. The purpose of the rule is to protect the public ...
The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or ...