No-Action Letter under: Investment Advisors Act – Section 206(4); Rule 206(4)(3) Prudential Securities Inc. February 7, 2001 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...

Final Rule: Revision of the Commission’s Auditor Independence Requirements SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210 and 240 [Release Nos. 33-7919; 34-43602; 35-27279; IC-24744; ...

Final Rule:Adjustments to Civil Monetary Penalty Amounts SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 201 [Release Nos. 33-7946; 34-43897; IA-1921; IC-24846] Adjustments to Civil Monetary ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-43591; File No. S7-17-00RIN 3235-AH96 Firm Quote and Trade-Through Disclosure Rules for OptionsAGENCY:Securities and Exchange Commission.ACTION:Final ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-44060; File No. S7-16-00] RIN 3235-AH95 Disclosure of Order Execution and Routing Practices AGENCY:Securities and Exchange ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 Release No. 34-43590; File No. S7-16-00RIN 3235-AH95 Disclosure of Order Execution and Routing PracticesAGENCY:Securities and Exchange Commission.ACTION:Final rule ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249 [Release No. 34-43860; File No. S7-03-01] RIN 3235-AI06 Proposed Rule Changes of Self-Regulatory Organizations AGENCY:Securities and ...

Final Rule:Adoption of Updated EDGAR Filer Manual SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 232 [Release Nos. 33-7933; 34-43843; 35-27338; 39-2388; IC-24827] RIN 3235-AG96 Adoption ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-43621; File No. 4-434RIN 3235-AH92 Options Price Reporting AuthorityAGENCY:Securities and Exchange Commission.ACTION:Adoption of amendments to national market system plan SUMMARY:The ...

The Commission is making technical revisions to Forms ADV, ADV-W, ADV-H, ADV-NR and related rules under the Investment Advisers Act of 1940 ("Advisers Act"). These ...