Investment Advisers Archives | Page 1496 of 1501

Custody of Investment Company Assets Outside the United States; Extension of Compliance Date

Final Rule Releases

May 16 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270(Release Nos. IC-23814, IS-1193; File No. S7-23-95)RIN 3235-AE98Custody of Investment Company Assets Outside the United States; Extension of Compliance ...

Definition of ‘prepared by or on behalf of the issuer’ for purposes of determining...

Final Rule Releases

RCW Staff -

May 6 1997

Revision of Holding Period Requirements in Rules 144 and 145

Final Rule Releases

RCW Staff -

April 21 1997

Informal Guidance Program for Small Entities

Final Rule Releases

RCW Staff -

March 29 1997

Penalty-Reduction Policy for Small Entities

Final Rule Releases

RCW Staff -

March 29 1997

Status of Investment Advisory Programs under the Investment Company Act of 1940

Final Rule Releases

RCW Staff -

March 24 1997

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 270 and 274Release No. IC-22579; IA-1623; S7-24-95RIN 3235-AG07Status of Investment Advisory Programs under the Investment Company Act of 1940AGENCY:Securities ...