Investment Advisers Archives | Page 1504 of 1506

Payment for Investment Company Services with Brokerage Commissions

Final Rule Releases

RCW Staff -

September 1 1995

PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT

Final Rule Releases

RCW Staff -

June 7 1995

Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales Loads

Final Rule Releases

RCW Staff -

March 25 1995

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-20916; File No. S7-24-88RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales LoadsAGENCY:Securities ...

Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple...

Final Rule Releases

RCW Staff -

March 25 1995

ADOPTION OF AMENDMENTS TO CLARIFY SAFE HARBORS FOR BROKER-DEALER RESEARCH REPORTS

Final Rule Releases

RCW Staff -

February 1 1995

Rulemaking for EDGAR System.

Final Rule Releases

RCW Staff -

January 30 1995

RECONCILIATION OF THE ACCOUNTING BY FOREIGN PRIVATE ISSUERS FOR BUSINESS COMBINATIONS

Final Rule Releases

RCW Staff -

December 13 1994

SELECTION OF REPORTING CURRENCY FOR FINANCIAL STATEMENTS OF FOREIGN PRIVATE ISSUERS AND RECONCILIATION TO...

Final Rule Releases

RCW Staff -

December 13 1994

FINANCIAL STATEMENTS OF SIGNIFICANT FOREIGN EQUITY INVESTEES AND ACQUIRED FOREIGN BUSINESSES OF DOMESTIC ISSUERS...

Final Rule Releases

RCW Staff -

December 13 1994

Amendments to Proxy Rules for Registered Investment Companies

Final Rule Releases

RCW Staff -

November 23 1994

Nearly there!

Investment Advisers

Former dual-registrant rep barred for Ponzi scheme

SEC Chairman Gensler says it’s time to update B-D comp rule

SEC Commissioner Peirce urges B-Ds to reach out to staff over new rule

SEC Commissioner Uyeda criticizes last-minute final rule

Faulty data reported to the SEC costs LPL

Payment for Investment Company Services with Brokerage Commissions

PROSPECTUS DELIVERY; SECURITIES TRANSACTIONS SETTLEMENT

Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales Loads

Exemption for Open-End Management Investment Companies Issuing Multiple Classes of Shares; Disclosure by Multiple...

ADOPTION OF AMENDMENTS TO CLARIFY SAFE HARBORS FOR BROKER-DEALER RESEARCH REPORTS

Rulemaking for EDGAR System.

RECONCILIATION OF THE ACCOUNTING BY FOREIGN PRIVATE ISSUERS FOR BUSINESS COMBINATIONS

SELECTION OF REPORTING CURRENCY FOR FINANCIAL STATEMENTS OF FOREIGN PRIVATE ISSUERS AND RECONCILIATION TO...

FINANCIAL STATEMENTS OF SIGNIFICANT FOREIGN EQUITY INVESTEES AND ACQUIRED FOREIGN BUSINESSES OF DOMESTIC ISSUERS...

Amendments to Proxy Rules for Registered Investment Companies

Nearly there!

Investment Advisers

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