Final Rule: Conditions for Use of Non-GAAP Financial Measures Securities and Exchange Commission 17 CFR PARTS 228, 229, 244 and 249 [Release No. 33-8176; 34-47226; ...
The Commission is adopting a new rule and rule amendments under the Investment Advisers Act of 1940 that address an investment adviser's fiduciary obligation to ...
Final Rule: Retention of Records Relevant to Audits and Reviews Securities and Exchange Commission 17 CFR Part 210 [Release Nos. 33-8180; 34-47241; IC-25911; FR-66; File ...
Webmaster Note: Correction to Final Regulations is now available. SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 228, 229 and 249 [RELEASE NOS. 33-8177; 34-47235; ...
This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.
The Commission is adopting rule amendments under the Investment Advisers Act of 1940 to exempt certain investment advisers that provide advisory services through the Internet ...
Final Rule: Exemption for Standardized Options From Provisions of the Securities Act of 1933 and From the Registration Requirements of the Securities Exchange Act of ...
Final Rule: Disclosure of Costs and Expenses by Insurance Company Separate Accounts Registered as Unit Investment Trusts that Offer Variable Annuity Contracts SECURITIES AND EXCHANGE ...
Securities and Exchange Commission 17 CFR PARTS 210, 229, 240 and 249 [RELEASE NOS. 33-8128; 34-46464; FR-63; File No. S7-08-02] RIN 3235-AI33 Acceleration of Periodic ...