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 ...
If a fund has not adopted a rule 12b-1 plan, then it cannot use fund assets to pay for services that are primarily intended to ...
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 ...
SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-40306Alternative Dispute Resolution Policy StatementAGENCY:Securities and Exchange Commission.ACTION:Policy Statement SUMMARY:Consistent with the Administrative Dispute Resolution Act of 1996, the recommendations ...