SECURITIES AND EXCHANGE COMMISSION(17 CFR Part 240)(Release No. 34-34903; File No. S7-30-94).RIN 3235-AG00Internalized/Affiliate Practices, Payment for Order Flow and Order Routing Practices.AGENCY:Securities and Exchange Commission.ACTION:Proposed ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240(Release No. 34-34753; File No. S7-28-94)RIN 3235-AG21Customer Limit OrdersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange Commission proposes a ...

This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.

Because Schwab purchases and redeems MFMP investment company shares on behalf of its customers solely as broker Section 22ds restrictions do not apply to Schwab's ...

SECURITIES AND EXCHANGE COMMISSIONRelease No. 34-29185; File No. S7-12-91 Automated Systems of Self-Regulatory OrganizationsAGENCY:Securities and Exchange Commission.ACTION:Policy Statement SUMMARY:The Securities and Exchange Commission today announces ...