SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 240 and 249Release No. 34-41356; File No. S7-17-96RIN 3235-AG69Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Securities and ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 [Release No. 34-41453, International Series Release No. 1198, File No. S7-4-99]RIN 3235-AH68Exemption of the Securities of the Kingdom ...
The Securities and Exchange Commission ("Commission") is adopting a new rule and form amendments under the Investment Advisers Act of 1940 for investment advisers that ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240 and 249Release No. 34-41351; File No. S7-16-99RIN 3235-AH73Broker-Dealer Registration and ReportingAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities and Exchange ...
A Disclosure Document should provide essential information about the fundamental characteristics of a pool, and it should provide the information in a way that will ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270(Release Nos. IC-23815, IS-1194; File No. S7-15-99)Custody of Investment Company Assets Outside the United StatesAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240, 242 and 249 RIN 3235-AH41 Correction to Final Rule: Regulation of Exchanges and Alternative Trading Systems Release ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 202, 240, 242 and 249[Release No. 34-41297; File No. S7-12-98]RIN 3235-AH41Regulation of Alternative Trading Systems; Technical AmendmentAGENCY:Securities and Exchange ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[RELEASE NOS. 34-41288; FOIA-190; and PA- 27] FILE NO. S7-14-99RIN: 3235-AH71AMENDMENTS TO THE COMMISSION'S FREEDOM OF INFORMATION ACT, PRIVACY ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240Release No. 34-41261; File No. S7-5-99RIN: 3235-AH40Publication or Submission of Quotations Without Specified InformationAGENCY:Securities and Exchange Commission.ACTION:Reproposed rule; extension ...