Final Rule: Rule 701 – Exempt Offerings Pursuant to Compensatory Arrangements SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 230 [Release No. 33-7645; File No. S7-5-98] ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240Release No. 34-41116, International Series Release No. 1186, File No. S7-15-98 RIN 3235-AH46 Exemption of the Securities of the ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240 Release No. 34-41110; File No. S7-5-99 RIN: 3235-AH40 Publication or Submission of Quotations Without Specified Information AGENCY:Securities and ...

This is an SEC no-action letter released in 1999 prompted by Goldman Sachs Asset Management. The letter concerns application of Advisers Act section 206(3). It ...

SECURITIES AND EXCHANGE COMMISSION17 CFR PARTS 232, 240, and 249 (Release Nos. 34-40934; IC-23640. File No. S7-18-97) RIN 3235-AG97 Rulemaking for EDGAR System AGENCY:Securities and ...

SECURITIES AND EXCHANGE COMMISSION(Release No. 34-40761; File No. S7-13-98) RIN 3235-AH39 Amendment To Rule Filing Requirements For Self-Regulatory Organizations Regarding New Derivative Securities Products. AGENCY:Securities ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279(Release No. IA-1787; File No. S7-2-99)RIN 3235-AH60Transition Rule for Ohio Investment AdvisersAGENCY:Securities and Exchange Commission.ACTION:Proposed ruleSUMMARY:The Securities ...