The SEC rejects a commissions-relationship by reps who aren't registered.

NFA Compliance Rule 2-29 prohibits the use of promotional material which is misleading or deceptive. The purpose of the rule is to protect the public ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 201[Release No. 34-40364; File No. S7-23-98]Rules of PracticeAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission is proposing for ...

The Commission is adopting amendments to the rule under the Investment Advisers Act of 1940 that permits investment advisers to charge certain clients performance or ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163A; File No. S7-8-98) RIN 3235-AH42 Year 2000 Readiness Reports to be made by certain transfer ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 (Release No. 34-40163; File No. S7-8-98)RIN 3235-AH42Year 2000 Readiness Reports To Be Made by Certain Transfer AgentsAGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-40162; File No. S7-7-98)RIN 3235-AH36Reports To Be Made by Certain Brokers and DealersAGENCY:Securities and Exchange Commission.ACTION:Final rule. ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-40306Alternative Dispute Resolution Policy StatementAGENCY:Securities and Exchange Commission.ACTION:Policy Statement SUMMARY:Consistent with the Administrative Dispute Resolution Act of 1996, the recommendations ...