Final Rule: Implementation of Standards of Professional Conduct for Attorneys Securities and Exchange Commission 17 CFR Part 205 [Release Nos. 33-8185; 34-47276; IC-25919; File No. ...
Securities and Exchange Commission 17 CFR Part 232 [Release Nos. 33-8255; 34-48204; 35-27700; 39-2409; IC-26013] RIN 3235-AG96 Adoption of Updated EDGAR Filer Manual Agency: Securities ...
No-Action Letter under Investment Advisors Act of 1940 — Section 206(4) and Rule 206(4)-3 Dougherty & Company LCC, Mr. Thomas Abood July 3, 2003 Response ...
No-Action Letter under Investment Company Act of 1940 — Section 7 and 3( c )(10) Mercy Investment Program, Inc. June 12, 2003 Response of the ...
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN ...
No-Action Letter under Investment company Act of 1940 — Section 7(b) Metropolitan Insurance and Annuity Company June 6, 2003 Response of the Office of Chief ...
Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws Securities and Exchange Commission [Release Nos. 33-8236; 34-47972; IC-26066; File ...
Interpretive Release: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 Securities and Exchange Commission 17 CFR Part 241 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47849; File No. S7-11-03RIN 3235-AI86Request for Comment on Nasdaq Petition Relating to the Regulation of Nasdaq-Listed ...
SEC Interpretation: Electronic Storage of Broker-Dealer Records SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 241 [Release No. 34-47806] Electronic Storage of Broker-Dealer Records AGENCY: The ...