Final Rule:Selective Disclosure and Insider Trading SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240, 243, and 249 Release Nos. 33-7881, 34-43154, IC-24599, File No. S7-31-99 ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200 [RELEASE NOS. 34-43239; FOIA-191; PA-30; FILE NO. S7-14-99] RIN 3235-AH71 AMENDMENTS TO THE COMMISSION'S FREEDOM OF INFORMATION AND ...
Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act...
Interim Final Rule: Exemption from Section 101(c)(1) of the Electronic Signatures in Global and National Commerce Act for Registered Investment Companies SECURITIES AND EXCHANGE COMMISSION ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 210, 228, 229, 230, 239, 240, 249 and 260Release Nos. 33-7745; 34-41936; International Series Release No. 1205; File No. ...
Final Rule:Financial Statements and Periodic Reports For Related Issuers and Guarantors SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 211, 228, 240 and 249 Release ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43085; File No. S7-17-00]RIN 3235-AH96Firm Quote and Trade-Through Disclosure Rules for OptionsAGENCY:Securities and Exchange Commission.ACTION:Proposed rule.SUMMARY:The Securities ...
This break-even analysis is a sample and the fees and expenses included in it may vary from those charged by other commodity pools. The analysis ...
If fees and charges associated with futures transactions are not determined on a per trade or round-turn trade basis, the Member must provide the customer ...
This Notice is intended to specify minimum supervisory standards for branch offices and guaranteed IBs. A failure to adhere to the requirements specified in this ...
This Section is intended to allow NFA to maintain close review of promotional material in circumstances where special scrutiny is warranted.