SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 232, 270 and 274[Release No. IC-23786; File No. S7-31-98]RIN 3235-AG29Deregistration of Certain Registered Investment CompaniesAGENCY:Securities and Exchange Commission.ACTION: Final ...
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 ...
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] ...
The Commission is making technical corrections to rules 204-1 and 202(a)(1)-1 under the Investment Advisers Act of 1940 ("Advisers Act"). Rule 204-1 was published Thursday, ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 279(Release No. IA-1733A; File No. S7-28-97)RIN 3235-AH22Final Rule; Technical changes to a Form.AGENCY:Securities and Exchange Commission.ACTION: Final rule.SUMMARY:The Commission ...
This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.