SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-8454; 34-50160; 35-27881; 39-2424; IC-26525] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual AGENCY: Securities ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-8442; File No. S7-17-04] RIN 3235-AJ03 COVERED SECURITIES PURSUANT TO SECTION 18 OF THE SECURITIES ...
Final Rule: Disclosure of Breakpoint Discounts by Mutual Funds SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8427; 34-49817; IC-26464; File ...
This SEC final rule makes amendments to require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors ...
Securities Act of 1933 – Section 5 and Rule 145 Investment Company Act of 1940 – Section 11 and 17(a) GE Life and Annuity Assurance ...
Investment Company Act of 1940 – Section 3( c)(10) Investment Advisor Act of 1940 – Section 203(b)(4) American Bible Society June 1, 2004 RESPONSE OF ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 239 and 274 [Release Nos. 33-8408; IC-26418; File No. S7-26-03] RIN 3235-AI99 Disclosure Regarding Market Timing and Selective ...
Investment Advisers Act of 1940 – Rule 206(4)-6 Egan-Jones Proxy Services May 27, 2004 Kent S. Hughes Managing Director Egan-Jones Proxy Services 61 Station Road ...
Securities Exchange Act of 1934 – Rule 14a-8(i)(7) Medallion Financial Corp. May 11, 2004 Michael C. Carroll, Senior Vice President Medallion Financial Corp. 437 Madison ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270 [Release No. IC-26375A; File No. S7-11-04] RIN 3235-AJ17Mandatory Redemption Fees for Redeemable Fund SecuritiesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...