SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 270 and 274(Release No. IC-23588; File No. S7-31-98)RIN 3235-AG29Deregistration of Certain Registered Investment Companies AGENCY:Securities and Exchange Commission.ACTION:Proposed ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40587; FR-52; File No. S7-8-98) RIN 3235-AH42 Year 2000 Readiness Reports to be Made by Certain ...

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 ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270[Release Nos. IC-23325, IA-1736; File No. S7-22-98]RIN 3235-AH02Temporary Exemption for Certain Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Commission is ...