Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7933; 34-43843; 35-27338; 39-2388; IC-24827] RIN 3235-AG96 Adoption ...
The Commission is making technical revisions to Forms ADV, ADV-W, ADV-H, ADV-NR and related rules under the Investment Advisers Act of 1940 ("Advisers Act"). These ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [Rel. No. 34-43985]Delegation of Authority to the Director of the Division of Market Regulation AGENCY:Securities and Exchange Commission.ACTION:Final ...
Final Rule: Delivery of Proxy Statements and Information Statements to Households SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 240 [Release Nos. 33-7912, 34-43487, ...
Final Rule:Selective Disclosure and Insider Trading SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240, 243, and 249 Release Nos. 33-7881, 34-43154, IC-24599, File No. S7-31-99 ...
Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act...
Interim Final Rule: Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies SECURITIES AND EXCHANGE COMMISSION ...
Final Rule:Financial Statements and Periodic Reports For Related Issuers and Guarantors SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 211, 228, 240 and 249 Release ...
This is a copy of the SEC's no-action letter related to advertising and marketing in response to a request from Jennison Associates.
Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7867; 34-42942; 35-27185; 39-2386; IC-24498] RIN 3235-AG96 Adoption ...
Final Rule:Offer and Sale of Securities to Canadian Tax-Deferred Retirement Savings Accounts Rule SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 240 and 270 [Release ...