Investment Advisers

Final Rule: Disclosure of Proxy Voting Policies and Proxy Voting Records by Registered Management Investment Companies Securities and Exchange Commission 17 CFR Parts 239, 249, ...
Final Rule: Disclosure in Management’s Discussion and Analysis about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations Securities And Exchange Commission 17 CFR Parts 228, 229 ...
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART 249 [RELEASE NO. 33-8183A; 34-47265A; 35-27642A; IC-25915A; IA-2103A, FR-68, File No. S7-49-02] RIN 3235-AI73 STRENGTHENING THE COMMISSION’S REQUIREMENTS ...
Securities and Exchange CommissionRIN 3235-AH16 [Release No. IC-25934; File No. S7-22-01]RIN 3235-AG71Custody of Investment Company Assets with a Securities DepositoryAgencySecurities and Exchange Commission ("Commission").Action:Final rule..SUMMARY:The ...
Final Rule: Conditions for Use of Non-GAAP Financial Measures Securities and Exchange Commission 17 CFR PARTS 228, 229, 244 and 249 [Release No. 33-8176; 34-47226; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-47571; File No. S7-07-03RIN 3235-AI78 Request for Comment on the NYSE Petition Relating to Participant Fee ...
No-Action Letter Under: Securities Exchange Act of 1934 – Rules 14a-8(i)(7) and (10) Tri-Continental Corporation March 25, 2003 Responses of the Office of Disclosure and ...
No-Action Letter under Investment Advisers Act of 1940 — Section 206 and Rule 206(4)-3 Dougherty & Company LLC March 21, 2003 Response of the Office ...
No-Action Letter under Investment Company Act of 1940 — Section 17(f) and Rule 17f-4 Fixed Income Clearing Corporation March 13, 2003 Response of the Office ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to ...
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